Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/12/20?limit=200&registers=between&mode=atom 2024-05-18T04:33:06-07:00 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/2017/12/20/2017-27430.html Notice - Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27430 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27430.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27351.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, To Amend Section 102.01B of the NYSE Listed Company Manual To Provide for the Listing of Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27351 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27351.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27350.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6, Series of Options Contracts Open for Trading 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27350 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27350.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27349.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27349 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27349.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27348.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 (Limit Up-Limit Down Plan and Trading Halts) To Reduce the Length of the “Display-Only Period” for the Initial Pricing on Nasdaq of a Security That Is the Subject of an Initial Public Offering 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27348 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27348.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27347.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27347 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27347.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27346.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 300 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27346 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27346.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27345.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27345 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27345.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27344.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF Under NYSE Arca Rule 8.600-E 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27344 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27344.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27343.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Obligations 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27343 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27343.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27342.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27342 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27342.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27340.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Calculation of the Member Order Routing Program 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27340 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27340.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27339.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Access and Routing Subsidy Program 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27339 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27339.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27338.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27338 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27338.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27337.html Notice - Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27337 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27337.pdf