<![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/2014/02/06?registers=between Sat, 21 Jun 2025 19:22:26 -0700 Sat, 21 Jun 2025 19:22:26 -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/2014/02/06?registers=between Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02572.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02572.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02572 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02572.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To More Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order; Correction https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02561.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02561.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02561 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02561.pdf Notice - Draft 2014-2018 Strategic Plan for Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02518.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02518.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02518 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02518.pdf Notice - T. Rowe Price Global Allocation Fund, Inc. et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02507.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02507.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02507 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02507.pdf Notice - NF Investment Corp., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02506.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02506.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02506 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02506.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Language Describing a Newly Adopted Credit Tier Under Rule 7018 https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02505.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02505.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02505 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02505.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To List and Trade CBOE Short-Term Volatility Index Options https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02504.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02504.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02504 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02504.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change Relating to Alternative Display Facility New Entrant https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02503.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02503.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02503 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02503.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of AdvisorShares International Gold ETF, AdvisorShares Gartman Gold/Yen ETF, AdvisorShares Gartman Gold/British Pound ETF, and AdvisorShares Gartman Gold/Euro ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02502.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02502.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02502 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02502.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Discontinue Its Stock Borrow Program https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02501.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02501.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02501 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02501.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To (i) Increase the Credit for Agency Cross Trades; (ii) Increase the Fee for Certain Executions at the Close; (iii) Increase the “Tier 1 Adding Credit;” (iv) Increase the Fee for Certain Floor Broker Discretionary e-Quotes; (v) Increase the Credit for Certain Floor Broker Executions That Add Liquidity; (vi) Increase the Credit for Certain Supplemental Liquidity Provider Executions; and (vii) Increase the Fee for Executions in Crossing Session II https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02500.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02500.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02500 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02500.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Increase the Fee for Executions in New York Stock Exchange Crossing Session II https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02499.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02499.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02499 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02499.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02498.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02498.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02498 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02498.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02497.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02497.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02497 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02497.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Clearinghouse Recovery and Wind-Down Rules for Its Futures and Options and Foreign Exchange Product Categories https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02496.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02496.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02496 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02496.pdf