<![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/2014/01/16?registers=between Tue, 15 Jul 2025 17:46:23 -0700 Tue, 15 Jul 2025 17:46:23 -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/2014/01/16?registers=between Rule - Registration of Municipal Advisors; Temporary Stay of Final Rule https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00740.html https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00740.html Thu, 16 Jan 2014 00:00:00 -0800 2014-00740 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00740.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00706.html https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00706.html Thu, 16 Jan 2014 00:00:00 -0800 2014-00706 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00706.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or More https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00691.html https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00691.html Thu, 16 Jan 2014 00:00:00 -0800 2014-00691 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00691.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the PULSe Workstation https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00690.html https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00690.html Thu, 16 Jan 2014 00:00:00 -0800 2014-00690 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00690.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Applicability of the Competitive Liquidity Provider Program https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00689.html https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00689.html Thu, 16 Jan 2014 00:00:00 -0800 2014-00689 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00689.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Continue Its Priority Customer Rebate Program on an Ongoing Basis https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00688.html https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00688.html Thu, 16 Jan 2014 00:00:00 -0800 2014-00688 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00688.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00687.html https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00687.html Thu, 16 Jan 2014 00:00:00 -0800 2014-00687 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00687.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC (d/b/a ISE Gemini); Order Declaring Effective a Minor Rule Violation Plan for Topaz Exchange, LLC https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00686.html https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00686.html Thu, 16 Jan 2014 00:00:00 -0800 2014-00686 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00686.pdf Rule - Rules of the Securities Investor Protection Corporation https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00556.html https://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00556.html Thu, 16 Jan 2014 00:00:00 -0800 2014-00556 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00556.pdf