<![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/2014/03/28?registers=between Mon, 23 Jun 2025 04:10:01 -0700 Mon, 23 Jun 2025 04:10:01 -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/2014/03/28?registers=between Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/03/28/C1-2014-06126.html https://regulations.justia.com/regulations/fedreg/2014/03/28/C1-2014-06126.html Fri, 28 Mar 2014 00:00:00 -0700 C1-2014-06126 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/C1-2014-06126.pdf Notice - China Shen Zhou Mining & Resources, Inc., Ideal Financial Solutions, Inc., Smooth Global (China) Holdings, Inc., Weikang Bio-Technology Group Co., Inc., and 1st Pacific Bancorp File No. 500-1 https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-07055.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-07055.html Fri, 28 Mar 2014 00:00:00 -0700 2014-07055 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-07055.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Means of Achieving the Investment Objective Applicable to the db-X Ultra-Short Duration Fund https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06967.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06967.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06967 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06967.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Interest Rate Hedged Corporate Bond ETF and iShares Interest Rate Hedged High Yield Bond ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06966.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06966.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06966 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06966.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in EDGX Rule 14.1 Concerning Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06965.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06965.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06965 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06965.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in EDGA Rule 14.1 Concerning Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06896.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06896.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06896 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06896.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices) https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06895.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06895.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06895 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06895.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06894.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06894.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06894 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06894.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06893.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06893.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06893 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06893.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06892.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06892.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06892 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06892.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06891.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06891.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06891 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06891.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06890.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06890.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06890 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06890.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.44 To Change the Priority of Displayable Odd Lot Interest Within the Recently Approved Retail Liquidity Program https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06889.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06889.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06889 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06889.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX BBO Data Feed and a New CBSX Book Depth Data Feed https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06887.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06887.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06887 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06887.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain CBOE Real-Time Data Feeds and a New Book Depth Data Feed https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06886.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06886.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06886 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06886.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain C2 Real-Time Data Feeds and a New Book Depth Data Feed https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06885.html https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06885.html Fri, 28 Mar 2014 00:00:00 -0700 2014-06885 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06885.pdf