<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2014/01/13?registers=between Tue, 15 Jul 2025 05:43:26 -0700 Tue, 15 Jul 2025 05:43:26 -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/agencies-and-commissions/securities-and-exchange-commission/2014/01/13?registers=between Notice - Joint Industry Plan; Notice of Filing of the Sixth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00346.html https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00346.html Mon, 13 Jan 2014 00:00:00 -0800 2014-00346 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00346.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(7)(b) To Provide That G Orders With a Price Equal to the Closing Price Are the Last Interest Eligible To Be Used To Offset a Closing Imbalance https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00345.html https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00345.html Mon, 13 Jan 2014 00:00:00 -0800 2014-00345 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00345.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C(7)(b)-Equities To Provide That G Orders With a Price Equal to the Closing Price Are the Last Interest Eligible To Be Used to Offset A Closing Imbalance https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00344.html https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00344.html Mon, 13 Jan 2014 00:00:00 -0800 2014-00344 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00344.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Multi-Class Spread Orders https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00343.html https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00343.html Mon, 13 Jan 2014 00:00:00 -0800 2014-00343 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00343.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00342.html https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00342.html Mon, 13 Jan 2014 00:00:00 -0800 2014-00342 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00342.pdf Notice - Self-Regulatory Organization; BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00341.html https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00341.html Mon, 13 Jan 2014 00:00:00 -0800 2014-00341 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00341.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 928NY To Expand the Scope of the Existing Risk Limitation Mechanism To Address Multiple, Successive Triggers of the Risk Limitation Mechanism https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00337.html https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00337.html Mon, 13 Jan 2014 00:00:00 -0800 2014-00337 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00337.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.40 To Expand the Scope of the Existing Risk Limitation Mechanism To Address Multiple, Successive Triggers of the Risk Limitation Mechanism https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00334.html https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00334.html Mon, 13 Jan 2014 00:00:00 -0800 2014-00334 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00334.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse (“OW”) Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00332.html https://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00332.html Mon, 13 Jan 2014 00:00:00 -0800 2014-00332 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00332.pdf