<![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/2014/03/05?registers=between Thu, 26 Jun 2025 02:25:45 -0700 Thu, 26 Jun 2025 02:25:45 -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/2014/03/05?registers=between Notice - Hatteras Alternative Mutual Funds Trust, et al., Notice of Application https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04800.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04800.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04800 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04800.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Amending Its Rules in Order To Clarify the Applicability and Functionality of Certain Order Types on the Exchange https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04799.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04799.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04799 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04799.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change Amending Its Rules in Order To Clarify the Applicability and Functionality of Certain Order Types on the Exchange https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04798.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04798.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04798 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04798.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Clarify the Classification and Reporting of Certain Securities to FINRA https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04797.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04797.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04797 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04797.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning Amendments to the Charters for the Membership/Risk Committee, Audit Committee and Performance Committee of OCC's Board of Directors https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04796.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04796.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04796 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04796.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Uniform Branch Office Registration Form (Form BR) https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04795.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04795.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04795 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04795.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) To Provide FINRA With General Exemptive Authority https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04794.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04794.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04794 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04794.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of Fees for New Optional Means for Clients To Receive BX TotalView ITCH Market Data https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04793.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04793.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04793 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04793.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04792.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04792.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04792 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04792.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04791.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04791.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04791 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04791.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04790.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04790.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04790 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04790.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending Supplementary Material .20 to NYSE Rule 103 Setting Forth Net Liquid Assets Requirements for Member Organizations That Operate as Designated Market Maker Units https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04789.html https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04789.html Wed, 05 Mar 2014 00:00:00 -0800 2014-04789 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04789.pdf