<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/11?registers=between&min-day=1&max-day=30 Sat, 27 Apr 2024 03:02:25 -0700 Sat, 27 Apr 2024 03:02:25 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/11?registers=between&min-day=1&max-day=30 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 https://regulations.justia.com/regulations/fedreg/2017/11/29/2017-25688.html https://regulations.justia.com/regulations/fedreg/2017/11/29/2017-25688.html Wed, 29 Nov 2017 00:00:00 -0800 2017-25688 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-29/pdf/2017-25688.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25710.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25710.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25710 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25710.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25709.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25709.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25709 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25709.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25708.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25708.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25708 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25708.pdf 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) https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25694.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25694.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25694 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25694.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25693.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25693.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25693 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25693.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25692.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25692.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25692 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25692.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25691.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25691.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25691 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25691.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25690.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25690.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25690 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25690.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25689.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25689.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25689 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25689.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25687.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25687.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25687 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25687.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25686.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25686.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25686 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25686.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Proposed Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25648.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25648.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25648 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25648.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25647.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25647.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25647 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25647.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25646.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25646.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25646 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25646.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25643.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25643.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25643 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25643.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25642.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25642.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25642 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25642.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25608.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25608.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25608 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25608.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25607.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25607.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25607.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25606.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25606.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25606 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25606.pdf 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”) https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25605.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25605.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25605 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25605.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25604.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25604.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25604 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25604.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25603.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25603.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25603 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25603.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25601.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25601.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25601 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25601.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25600.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25600.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25600 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25600.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25599.html https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25599.html Tue, 28 Nov 2017 00:00:00 -0800 2017-25599 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25599.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25701.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25701.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25701 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25701.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25700.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25700.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25700 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25700.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25476.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25476.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25476 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25476.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25474.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25474.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25474 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25474.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25473.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25473.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25473 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25473.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25472.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25472.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25472 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25472.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25471.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25471.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25471 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25471.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25470.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25470.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25470 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25470.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25469.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25469.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25469 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25469.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25468.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25468.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25468 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25468.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25467.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25467.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25467 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25467.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25466.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25466.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25466 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25466.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25465.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25465.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25465 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25465.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25464.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25464.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25464 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25464.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25463.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25463.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25463 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25463.pdf Notice - New Mountain Finance Corporation, et al. https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25462.html https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25462.html Mon, 27 Nov 2017 00:00:00 -0800 2017-25462 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25462.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25475.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25475.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25475 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25475.pdf Notice - Motley Fool Asset Management, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25359.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25359.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25359 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25359.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7300 https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25357.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25357.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25357 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25357.pdf 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) https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25356.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25356.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25356 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25356.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 612, Aggregate Risk Manager (“ARM”) https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25355.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25355.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25355 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25355.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25354.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25354.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25354 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25354.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25353.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25353.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25353 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25353.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25352.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25352.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25352 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25352.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25347.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25347.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25347 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25347.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To 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 https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25346.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25346.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25346 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25346.pdf 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) https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25345.html https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25345.html Fri, 24 Nov 2017 00:00:00 -0800 2017-25345 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25345.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25241.html https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25241.html Wed, 22 Nov 2017 00:00:00 -0800 2017-25241 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25241.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Rule 6.56 https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25233.html https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25233.html Wed, 22 Nov 2017 00:00:00 -0800 2017-25233 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25233.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25232.html https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25232.html Wed, 22 Nov 2017 00:00:00 -0800 2017-25232 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25232.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25231.html https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25231.html Wed, 22 Nov 2017 00:00:00 -0800 2017-25231 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25231.pdf 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) https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25230.html https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25230.html Wed, 22 Nov 2017 00:00:00 -0800 2017-25230 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25230.pdf 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) https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25229.html https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25229.html Wed, 22 Nov 2017 00:00:00 -0800 2017-25229 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25229.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25228.html https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25228.html Wed, 22 Nov 2017 00:00:00 -0800 2017-25228 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25228.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25227.html https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25227.html Wed, 22 Nov 2017 00:00:00 -0800 2017-25227 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25227.pdf 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) https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25226.html https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25226.html Wed, 22 Nov 2017 00:00:00 -0800 2017-25226 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25226.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25145.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25145.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25145 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25145.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25144.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25144.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25144 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25144.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25143.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25143.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25143 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25143.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25142.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25142.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25142 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25142.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25141.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25141.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25141 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25141.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25140.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25140.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25140 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25140.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25139.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25139.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25139 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25139.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25138.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25138.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25138 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25138.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25137.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25137.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25137 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25137.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25136.html https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25136.html Tue, 21 Nov 2017 00:00:00 -0800 2017-25136 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25136.pdf 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) https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25041.html https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25041.html Mon, 20 Nov 2017 00:00:00 -0800 2017-25041 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25041.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25040.html https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25040.html Mon, 20 Nov 2017 00:00:00 -0800 2017-25040 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25040.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25039.html https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25039.html Mon, 20 Nov 2017 00:00:00 -0800 2017-25039 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25039.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25038.html https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25038.html Mon, 20 Nov 2017 00:00:00 -0800 2017-25038 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25038.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018 https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25037.html https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25037.html Mon, 20 Nov 2017 00:00:00 -0800 2017-25037 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25037.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25030.html https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25030.html Mon, 20 Nov 2017 00:00:00 -0800 2017-25030 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25030.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25028.html https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25028.html Mon, 20 Nov 2017 00:00:00 -0800 2017-25028 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25028.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25027.html https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25027.html Mon, 20 Nov 2017 00:00:00 -0800 2017-25027 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25027.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24945.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24945.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24945 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24945.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24939.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24939.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24939 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24939.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24938.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24938.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24938 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24938.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Rule 7036 To Withdraw the Nasdaq Market Analytics Data Package From Sale https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24937.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24937.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24937 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24937.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24936.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24936.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24936 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24936.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24935.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24935.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24935 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24935.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7014 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24934.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24934.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24934 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24934.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24933.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24933.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24933 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24933.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24932.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24932.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24932 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24932.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24931.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24931.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24931 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24931.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24930.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24930.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24930 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24930.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24929.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24929.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24929 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24929.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24928.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24928.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24928 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24928.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Liquidity for Same-Day Settlement https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24920.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24920.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24920 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24920.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24919.html https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24919.html Fri, 17 Nov 2017 00:00:00 -0800 2017-24919 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24919.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24784.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24784.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24784 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24784.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24783.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24783.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24783 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24783.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24782.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24782.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24782 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24782.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24781.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24781.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24781 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24781.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24780.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24780.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24780 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24780.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1059, Accommodation Transactions https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24779.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24779.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24779 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24779.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24778.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24778.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24778 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24778.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24777.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24777.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24777 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24777.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24755.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24755.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24755 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24755.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24754.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24754.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24754 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24754.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24753.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24753.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24753 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24753.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24752.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24752.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24752 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24752.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24751.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24751.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24751 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24751.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24750.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24750.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24750 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24750.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24749.html https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24749.html Thu, 16 Nov 2017 00:00:00 -0800 2017-24749 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24749.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24692.html https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24692.html Wed, 15 Nov 2017 00:00:00 -0800 2017-24692 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24692.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24660.html https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24660.html Wed, 15 Nov 2017 00:00:00 -0800 2017-24660 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24660.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the GraniteShares Silver Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24659.html https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24659.html Wed, 15 Nov 2017 00:00:00 -0800 2017-24659 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24659.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24658.html https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24658.html Wed, 15 Nov 2017 00:00:00 -0800 2017-24658 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24658.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24657.html https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24657.html Wed, 15 Nov 2017 00:00:00 -0800 2017-24657 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24657.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24656.html https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24656.html Wed, 15 Nov 2017 00:00:00 -0800 2017-24656 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24656.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24655.html https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24655.html Wed, 15 Nov 2017 00:00:00 -0800 2017-24655 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24655.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24654.html https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24654.html Wed, 15 Nov 2017 00:00:00 -0800 2017-24654 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24654.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24681.html https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24681.html Tue, 14 Nov 2017 00:00:00 -0800 2017-24681 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24681.pdf Notice - Order Scheduling Filing of Statements on Review https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24629.html https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24629.html Tue, 14 Nov 2017 00:00:00 -0800 2017-24629 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24629.pdf Notice - Meeder Funds Trust, et al. https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24628.html https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24628.html Tue, 14 Nov 2017 00:00:00 -0800 2017-24628 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24628.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24577.html https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24577.html Tue, 14 Nov 2017 00:00:00 -0800 2017-24577 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24577.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24576.html https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24576.html Tue, 14 Nov 2017 00:00:00 -0800 2017-24576 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24576.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the GraniteShares Platinum Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24575.html https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24575.html Tue, 14 Nov 2017 00:00:00 -0800 2017-24575 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24575.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To 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 https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24574.html https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24574.html Tue, 14 Nov 2017 00:00:00 -0800 2017-24574 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24574.pdf Notice - CBOE Vest Financial, LLC, et al. https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24487.html https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24487.html Mon, 13 Nov 2017 00:00:00 -0800 2017-24487 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24487.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24486.html https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24486.html Mon, 13 Nov 2017 00:00:00 -0800 2017-24486 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24486.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24485.html https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24485.html Mon, 13 Nov 2017 00:00:00 -0800 2017-24485 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24485.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24442.html https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24442.html Mon, 13 Nov 2017 00:00:00 -0800 2017-24442 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24442.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24441.html https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24441.html Mon, 13 Nov 2017 00:00:00 -0800 2017-24441 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24441.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24440.html https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24440.html Mon, 13 Nov 2017 00:00:00 -0800 2017-24440 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24440.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24439.html https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24439.html Mon, 13 Nov 2017 00:00:00 -0800 2017-24439 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24439.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24438.html https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24438.html Mon, 13 Nov 2017 00:00:00 -0800 2017-24438 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24438.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24437.html https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24437.html Mon, 13 Nov 2017 00:00:00 -0800 2017-24437 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24437.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24371.html https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24371.html Thu, 09 Nov 2017 00:00:00 -0800 2017-24371 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24371.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24370.html https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24370.html Thu, 09 Nov 2017 00:00:00 -0800 2017-24370 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24370.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24369.html https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24369.html Thu, 09 Nov 2017 00:00:00 -0800 2017-24369 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24369.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Section IV, Entitled “Other Transaction Fees” https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24368.html https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24368.html Thu, 09 Nov 2017 00:00:00 -0800 2017-24368 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24368.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24257.html https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24257.html Wed, 08 Nov 2017 00:00:00 -0800 2017-24257 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24257.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24256.html https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24256.html Wed, 08 Nov 2017 00:00:00 -0800 2017-24256 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24256.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24255.html https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24255.html Wed, 08 Nov 2017 00:00:00 -0800 2017-24255 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24255.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Rule 7058 https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24254.html https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24254.html Wed, 08 Nov 2017 00:00:00 -0800 2017-24254 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24254.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Price Improvement XL Auction https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24253.html https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24253.html Wed, 08 Nov 2017 00:00:00 -0800 2017-24253 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24253.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24252.html https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24252.html Wed, 08 Nov 2017 00:00:00 -0800 2017-24252 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24252.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24251.html https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24251.html Wed, 08 Nov 2017 00:00:00 -0800 2017-24251 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24251.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24260.html https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24260.html Tue, 07 Nov 2017 00:00:00 -0800 2017-24260 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24260.pdf Notice - Princeton Fund Advisors, LLC. et al. https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24225.html https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24225.html Tue, 07 Nov 2017 00:00:00 -0800 2017-24225 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24225.pdf Notice - Brandes Investment Trust, et al. https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24224.html https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24224.html Tue, 07 Nov 2017 00:00:00 -0800 2017-24224 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24224.pdf Notice - Reinhart Partners, Inc., et al. https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24138.html https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24138.html Tue, 07 Nov 2017 00:00:00 -0800 2017-24138 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24138.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24132.html https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24132.html Tue, 07 Nov 2017 00:00:00 -0800 2017-24132 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24132.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24131.html https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24131.html Tue, 07 Nov 2017 00:00:00 -0800 2017-24131 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24131.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24130.html https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24130.html Tue, 07 Nov 2017 00:00:00 -0800 2017-24130 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24130.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24056.html https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24056.html Mon, 06 Nov 2017 00:00:00 -0800 2017-24056 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24056.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24051.html https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24051.html Mon, 06 Nov 2017 00:00:00 -0800 2017-24051 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24051.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1614 https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24050.html https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24050.html Mon, 06 Nov 2017 00:00:00 -0800 2017-24050 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24050.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24049.html https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24049.html Mon, 06 Nov 2017 00:00:00 -0800 2017-24049 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24049.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24048.html https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24048.html Mon, 06 Nov 2017 00:00:00 -0800 2017-24048 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24048.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24047.html https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24047.html Mon, 06 Nov 2017 00:00:00 -0800 2017-24047 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24047.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24046.html https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24046.html Mon, 06 Nov 2017 00:00:00 -0800 2017-24046 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24046.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24045.html https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24045.html Mon, 06 Nov 2017 00:00:00 -0800 2017-24045 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24045.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23928.html https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23928.html Fri, 03 Nov 2017 00:00:00 -0700 2017-23928 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23928.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23927.html https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23927.html Fri, 03 Nov 2017 00:00:00 -0700 2017-23927 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23927.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23926.html https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23926.html Fri, 03 Nov 2017 00:00:00 -0700 2017-23926 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23926.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23925.html https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23925.html Fri, 03 Nov 2017 00:00:00 -0700 2017-23925 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23925.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to Nasdaq Options Services https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23924.html https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23924.html Fri, 03 Nov 2017 00:00:00 -0700 2017-23924 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23924.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23923.html https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23923.html Fri, 03 Nov 2017 00:00:00 -0700 2017-23923 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23923.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rules 700, 1322, and 517 https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23922.html https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23922.html Fri, 03 Nov 2017 00:00:00 -0700 2017-23922 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23922.pdf Notice - Horizon Technology Finance Corporation, et al. https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23920.html https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23920.html Fri, 03 Nov 2017 00:00:00 -0700 2017-23920 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23920.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23837.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23837.html Thu, 02 Nov 2017 00:00:00 -0700 2017-23837 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23837.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23832.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23832.html Thu, 02 Nov 2017 00:00:00 -0700 2017-23832 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23832.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23831.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23831.html Thu, 02 Nov 2017 00:00:00 -0700 2017-23831 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23831.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23830.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23830.html Thu, 02 Nov 2017 00:00:00 -0700 2017-23830 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23830.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23829.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23829.html Thu, 02 Nov 2017 00:00:00 -0700 2017-23829 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23829.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23828.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23828.html Thu, 02 Nov 2017 00:00:00 -0700 2017-23828 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23828.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23827.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23827.html Thu, 02 Nov 2017 00:00:00 -0700 2017-23827 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23827.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23826.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23826.html Thu, 02 Nov 2017 00:00:00 -0700 2017-23826 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23826.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 518 Relating to Derived Orders https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23825.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23825.html Thu, 02 Nov 2017 00:00:00 -0700 2017-23825 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23825.pdf Proposed Rule - FAST Act Modernization and Simplification of Regulation S-K https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-22374.html https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-22374.html Thu, 02 Nov 2017 00:00:00 -0700 2017-22374 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-22374.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23739.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23739.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23739 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23739.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23738.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23738.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23738 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23738.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23737.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23737.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23737 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23737.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Liquidity for Same Day Settlement https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23736.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23736.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23736 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23736.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23735.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23735.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23735 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23735.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23734.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23734.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23734 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23734.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23733.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23733.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23733 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23733.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23732.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23732.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23732 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23732.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23731.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23731.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23731 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23731.pdf Notice - The Relative Value Fund et al. https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23695.html https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23695.html Wed, 01 Nov 2017 00:00:00 -0700 2017-23695 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23695.pdf