Securities and Exchange Commission 2017 – Federal Register Recent Federal Regulation Documents

Results 651 - 700 of 2,178
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges
Document Number: 2017-19586
Type: Notice
Date: 2017-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19586.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of The Gold Trust Under NYSE Arca Rule 8.201-E
Document Number: 2017-19585
Type: Notice
Date: 2017-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19585.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule
Document Number: 2017-19584
Type: Notice
Date: 2017-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19584.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Eaton Vance Oaktree Diversified Credit NextSharesTM
Document Number: 2017-19583
Type: Notice
Date: 2017-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19583.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to the Definition of Non-Public Arbitrator
Document Number: 2017-19582
Type: Notice
Date: 2017-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19582.html
Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Add an Exception to Phlx Rule 1000(f)(iii) for Certain Floor Broker Transactions and Adopt Rule 1063(e)(v) To Add the Snapshot Functionality to the Options Floor Broker Management System
Document Number: 2017-19581
Type: Notice
Date: 2017-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19581.html
Innovator ETFS Trust and Innovator Capital Management, LLC
Document Number: 2017-19577
Type: Notice
Date: 2017-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19577.html
Innovator ETFs Trust, et al.
Document Number: 2017-19537
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19537.html
Innovator ETFs Trust, et al.
Document Number: 2017-19536
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19536.html
Proposed Collection; Comment Request
Document Number: 2017-19511
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19511.html
Proposed Collection; Comment Request
Document Number: 2017-19510
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19510.html
Proposed Collection; Comment Request
Document Number: 2017-19509
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19509.html
Self-Regulatory Organizations; Bats BZX Exchange, 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 Aptus Fortified Value ETF, a Series of ETF Series Solutions, Under Exchange Rule 14.11(c)
Document Number: 2017-19479
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19479.html
Self-Regulatory Organizations; The NASDAQ Stock Market 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 Rules 4702 and 4754 Relating to the Nasdaq Closing Cross and To Make Other Related Changes
Document Number: 2017-19478
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19478.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of SR-ISE-2017-32
Document Number: 2017-19477
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19477.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Discount to the Pricing Schedule for Special Requests for Security Position Reports Relating to Municipal Security Issues
Document Number: 2017-19476
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19476.html
The Vanguard Group, Inc., et al.
Document Number: 2017-19474
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19474.html
Medley Capital Corporation, et al.
Document Number: 2017-19473
Type: Notice
Date: 2017-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19473.html
Submission for OMB Review; Comment Request
Document Number: 2017-19446
Type: Notice
Date: 2017-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19446.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Expand the Application of the Family-Issued Securities Charge
Document Number: 2017-19379
Type: Notice
Date: 2017-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19379.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule
Document Number: 2017-19378
Type: Notice
Date: 2017-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19378.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Rules To Make Technical and Conforming Updates, in Connection With the Merger of NYSE Arca Equities, Inc. With and Into the Exchange's Affiliate NYSE Arca, Inc. and the Name Change of NYSE National, Inc.
Document Number: 2017-19377
Type: Notice
Date: 2017-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19377.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List
Document Number: 2017-19376
Type: Notice
Date: 2017-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19376.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to an Advance Notice To Expand the Application of the Family-Issued Securities Charge
Document Number: 2017-19375
Type: Notice
Date: 2017-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19375.html
Submission for OMB Review; Comment Request
Document Number: 2017-19360
Type: Notice
Date: 2017-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19360.html
Sunshine Act Meeting
Document Number: 2017-19445
Type: Notice
Date: 2017-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19445.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Commentary .06 to NYSE Arca Rule 6.91-O To Enhance the Price Protections for Complex Orders Executed on the Exchange
Document Number: 2017-19241
Type: Notice
Date: 2017-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19241.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.201
Document Number: 2017-19240
Type: Notice
Date: 2017-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19240.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Commentary .06 to Rule 980NY To Enhance the Price Protections for Complex Orders Executed on the Exchange
Document Number: 2017-19239
Type: Notice
Date: 2017-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19239.html
Active Weighting Funds ETF Trust and Active Weighting Advisors LLC
Document Number: 2017-19236
Type: Notice
Date: 2017-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19236.html
Proposed Collection; Comment Request
Document Number: 2017-19235
Type: Notice
Date: 2017-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19235.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Delay the Implementation of Its Recently Approved Rule Requiring Listed Companies To Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange
Document Number: 2017-19107
Type: Notice
Date: 2017-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/11/2017-19107.html
Proposed Collection; Comment Request
Document Number: 2017-19072
Type: Notice
Date: 2017-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19072.html
Submission for OMB Review; Comment Request
Document Number: 2017-19071
Type: Notice
Date: 2017-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19071.html
Proposed Collection; Comment Request
Document Number: 2017-19070
Type: Notice
Date: 2017-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19070.html
Proposed Collection; Comment Request
Document Number: 2017-19069
Type: Notice
Date: 2017-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19069.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.15, Nullification and Adjustment of Options Transactions Including Obvious Errors
Document Number: 2017-19003
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-19003.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.25, Nullification and Adjustment of Options Transactions Including Obvious Errors
Document Number: 2017-18939
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18939.html
Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.3, Trading Halts, and Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors
Document Number: 2017-18938
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18938.html
Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address the Application of Exchange Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants”) as it Relates to Establishing Ex-Dividend Dates in connection With the Implementation of the T+2 Settlement Cycle on September 5, 2017
Document Number: 2017-18937
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18937.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Interpretive Guidance With Respect to Watch List Consequences
Document Number: 2017-18936
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18936.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, Under Rule 14.11(c)(3), Index Fund Shares
Document Number: 2017-18935
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18935.html
Eagle Series Trust, et al.
Document Number: 2017-18932
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18932.html
American Century International Bond Funds, et al.
Document Number: 2017-18931
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18931.html
Hudson Advisors L.P., et al.
Document Number: 2017-18930
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18930.html
Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc.
Document Number: 2017-18929
Type: Notice
Date: 2017-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18929.html
Sunshine Act Meeting
Document Number: 2017-18933
Type: Notice
Date: 2017-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18933.html
Proposed Collection; Comment Request
Document Number: 2017-18860
Type: Notice
Date: 2017-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18860.html
Proposed Collection; Comment Request
Document Number: 2017-18859
Type: Notice
Date: 2017-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18859.html
Proposed Collection; Comment Request
Document Number: 2017-18858
Type: Notice
Date: 2017-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18858.html
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