Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2014/03?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-20T18:13:21-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07230.htmlNotice - In the Matter of Citadel EFT, Inc.; Order of Suspension of Trading2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07230.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07229.htmlNotice - In the Matter of Hendrx Corp., Plastinum Polymer Technologies Corp., Vertical Branding, Inc., WHY USA Financial Group, Inc., and XNE, Inc.; Order of Suspension of Trading2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07229Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07229.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07226.htmlNotice - In the Matter of Advanced Cannabis Solutions, Inc.; Order of Suspension of Trading2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07226.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07190.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend a Pilot Program Related to Rule 7.10, Entitled “Clearly Erroneous Executions”2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07190.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07054.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07054Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07054.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07045.htmlNotice - Submission for OMB Review; Comment Request2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07045Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07045.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07044.htmlNotice - Submission for OMB Review; Comment Request2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07044Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07044.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07043.htmlNotice - Submission for OMB Review; Comment Request2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07043Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07043.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07042.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Acceptance of a New Series of Credit Default Swap Index Product2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07042.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07041.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX Clearly Erroneous Policy2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07041.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07040.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Rule 11.19, Titled “Clearly Erroneous Executions”2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07040.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07039.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's DOT, DOTI, and LIST Routing Strategies2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07039.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07038.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program and NBBO Setter Incentive Program Under Rule 7014, and To Modify the Rules Governing Fees Assessed for Orders Executed in the NASDAQ Opening Cross Under Rule 70182014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07038.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07037.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07037.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07036.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding New Permitted Cover2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07036.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07035.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding New Permitted Cover2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07035.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07014.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Y-Exchange, Inc.2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07014Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07014.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07013.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Exchange, Inc.2014-03-31T00:00:00-07:002014-03-31T00:00:00-07:002014-07013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07013.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/C1-2014-06126.htmlNotice - Submission for OMB Review; Comment Request2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:00C1-2014-06126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/C1-2014-06126.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-07055.htmlNotice - 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. 500-12014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-07055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-07055.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06967.htmlNotice - 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 Fund2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06967.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06966.htmlNotice - 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 8.6002014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06966.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06965.htmlNotice - 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 Privileges2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06965.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06896.htmlNotice - 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 Privileges2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06896.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06895.htmlNotice - 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)2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06895.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06894.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06894.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06893.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06893.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06892.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06892.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06891.htmlNotice - 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 Transactions2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06891.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06890.htmlNotice - 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 Securities2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06890Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06890.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06889.htmlNotice - 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 Program2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06889Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06889.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06887.htmlNotice - 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 Feed2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06887Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06887.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06886.htmlNotice - 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 Feed2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06886Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06886.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06885.htmlNotice - 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 Feed2014-03-28T00:00:00-07:002014-03-28T00:00:00-07:002014-06885Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06885.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06764.htmlNotice - Submission for OMB Review; Comment Request2014-03-27T00:00:00-07:002014-03-27T00:00:00-07:002014-06764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06764.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06763.htmlNotice - Submission for OMB Review; Comment Request2014-03-27T00:00:00-07:002014-03-27T00:00:00-07:002014-06763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06763.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06762.htmlNotice - Empowered Funds, LLC and Empowered Funds ETF Trust; Notice of Application2014-03-27T00:00:00-07:002014-03-27T00:00:00-07:002014-06762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06762.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06761.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect the Elimination of a Discount to OCC's Clearing Fee Schedule2014-03-27T00:00:00-07:002014-03-27T00:00:00-07:002014-06761Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06761.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06760.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the SPDR SSgA Risk Aware ETF; SPDR SSgA Large Cap Risk Aware ETF; and SPDR SSgA Small Cap Risk Aware ETF Under NYSE Arca Equities Rule 8.6002014-03-27T00:00:00-07:002014-03-27T00:00:00-07:002014-06760Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06760.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06759.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-03-27T00:00:00-07:002014-03-27T00:00:00-07:002014-06759Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06759.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06758.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To List and Trade CBOE Short-Term Volatility Index Options2014-03-27T00:00:00-07:002014-03-27T00:00:00-07:002014-06758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06758.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06610.htmlNotice - Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc.; Notice of Application2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06610Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06610.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06609.htmlNotice - Submission for OMB Review; Comment Request2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06609.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06608.htmlNotice - Submission for OMB Review; Comment Request2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06608.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06607.htmlNotice - Submission for OMB Review; Comment Request2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06607.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06606.htmlNotice - Proposed Collection; Comment Request2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06606.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06605.htmlNotice - Submission for OMB Review; Comment Request2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06605.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06604.htmlNotice - Submission for OMB Review; Comment Request2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06604.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06603.htmlNotice - Proposed Collection; Comment Request2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06603Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06603.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06602.htmlNotice - Proposed Collection; Comment Request2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06602Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06602.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06601.htmlNotice - Submission for OMB Review; Comment Request2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06601Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06601.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06600.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06600Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06600.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06599.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Related to Market Maker Risk Parameters2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06599.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06598.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change Related to Market Maker Risk Parameters2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-06598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06598.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/26/2014-05806.htmlProposed Rule - Standards for Covered Clearing Agencies2014-03-26T00:00:00-07:002014-03-26T00:00:00-07:002014-05806Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-05806.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06465.htmlNotice - PennantPark Investment Corp., et al.; Notice of Application2014-03-25T00:00:00-07:002014-03-25T00:00:00-07:002014-06465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06465.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06464.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Administrative and Conforming Changes To Rename the Membership/Risk Committee to Risk Committee, Reflect the Renaming of the Chairman Title to Executive Chairman, and Reflect That Two Management Directors Are on the Board of Directors2014-03-25T00:00:00-07:002014-03-25T00:00:00-07:002014-06464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06464.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06463.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program2014-03-25T00:00:00-07:002014-03-25T00:00:00-07:002014-06463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06463.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06462.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program2014-03-25T00:00:00-07:002014-03-25T00:00:00-07:002014-06462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06462.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06461.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt a New Order Type Called the Mid-Point Discretionary Order2014-03-25T00:00:00-07:002014-03-25T00:00:00-07:002014-06461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06461.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06460.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2014-03-25T00:00:00-07:002014-03-25T00:00:00-07:002014-06460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06460.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06459.htmlNotice - Self-Regulatory Organizations; Depository Trust Company; Notice of Filing Amendment Nos. 1 and 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities2014-03-25T00:00:00-07:002014-03-25T00:00:00-07:002014-06459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06459.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06458.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Appointment Cost for CBOE Volatility Index (VIX) Options2014-03-25T00:00:00-07:002014-03-25T00:00:00-07:002014-06458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06458.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06523.htmlNotice - Sunshine Act Meeting2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06523.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06490.htmlNotice - Order of Suspension of Trading; In the Matter of Network Dealer Services Holding Corp., NextFit, Inc., Rocky Mountain Minerals, Inc., Titan Technologies, Inc., Trudy Corporation, UAGH, Inc., and Uranium 308 Corp.2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06490Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06490.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06489.htmlNotice - IVI Communications, Inc., Omnicity Corp., Precision Petroleum Corporation, PSB Group, Inc., Sustainable Power Corp., and Whitehall Jewelers Holdings, Inc. (n/k/a WJ Holdings Liquidating Company); Order of Suspension of Trading2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06489.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06467.htmlNotice - Sunshine Act Meeting2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06467Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06467.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06466.htmlNotice - Sunshine Act Meeting2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06466.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06336.htmlNotice - Cybersecurity Roundtable2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06336Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06336.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06306.htmlNotice - HMS Income Fund, Inc., et al.; Notice of Application2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06306Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06306.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06305.htmlNotice - Submission for OMB Review; Comment Request2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06305Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06305.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06304.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Certain Funds of the ProShares Trust2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06304Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06304.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06303.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Its Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06303Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06303.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06302.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06302Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06302.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06301.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Specify Pricing Applicable To Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program2014-03-24T00:00:00-07:002014-03-24T00:00:00-07:002014-06301Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06301.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/21/2014-06187.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation (“NSCC”); Notice of Filing of Proposed Rule Change To Enhance the System That Processes Corporate Actions Within NSCC's Continuous Net Settlement (“CNS”) System2014-03-21T00:00:00-07:002014-03-21T00:00:00-07:002014-06187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-21/pdf/2014-06187.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/20/2014-06126.htmlNotice - Submission for OMB Review; Comment Request2014-03-20T00:00:00-07:002014-03-20T00:00:00-07:002014-06126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-20/pdf/2014-06126.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/20/2014-06125.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. in Order To Make Certain Technical Changes Within the Aforementioned Agreements2014-03-20T00:00:00-07:002014-03-20T00:00:00-07:002014-06125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-20/pdf/2014-06125.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/20/2014-06124.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2014-03-20T00:00:00-07:002014-03-20T00:00:00-07:002014-06124Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-20/pdf/2014-06124.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/20/2014-06123.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2014-03-20T00:00:00-07:002014-03-20T00:00:00-07:002014-06123Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-20/pdf/2014-06123.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05988.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Establish Pricing for the Retail Liquidity Program and Make Certain Changes Relating to Open Orders2014-03-19T00:00:00-07:002014-03-19T00:00:00-07:002014-05988Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05988.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05987.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in Which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc.2014-03-19T00:00:00-07:002014-03-19T00:00:00-07:002014-05987Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05987.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05986.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 64322014-03-19T00:00:00-07:002014-03-19T00:00:00-07:002014-05986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05986.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05985.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change to Adopt Rule 980.F2014-03-19T00:00:00-07:002014-03-19T00:00:00-07:002014-05985Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05985.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05984.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program, Effective March 1, 20142014-03-19T00:00:00-07:002014-03-19T00:00:00-07:002014-05984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05984.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05983.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program and Multiply Listed Options2014-03-19T00:00:00-07:002014-03-19T00:00:00-07:002014-05983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05983.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/C1-2014-05179.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Orders2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:00C1-2014-05179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/C1-2014-05179.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/C1-2014-04792.htmlNotice - 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 Reporting2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:00C1-2014-04792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/C1-2014-04792.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-06012.htmlNotice - Sunshine Act Meeting2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-06012Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-06012.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-06005.htmlNotice - Petrotech Oil & Gas, Inc.; Order of Suspension of Trading2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-06005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-06005.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05875.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05875.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05874.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05874.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05873.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05873.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05861.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the iShares Core Allocation Conservative ETF, iShares Core Allocation Moderate ETF, iShares Core Allocation Moderate Growth ETF, and iShares Core Allocation Growth ETF Under NYSE Arca Equities Rule 8.6002014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05861.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05860.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05860.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05859.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05859.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05858.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05858.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05857.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05857Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05857.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05856.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05856.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05840.htmlNotice - 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 Schedule2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05840Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05840.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05839.htmlNotice - 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 Schedule2014-03-18T00:00:00-07:002014-03-18T00:00:00-07:002014-05839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05839.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05755.htmlNotice - Submission for OMB Review; Comment Request2014-03-17T00:00:00-07:002014-03-17T00:00:00-07:002014-05755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05755.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05754.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Changes to the MSRB's Electronic Municipal Market Access System, Real-Time Transaction Reporting System, and Short-Term Obligation Rate Transparency System2014-03-17T00:00:00-07:002014-03-17T00:00:00-07:002014-05754Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05754.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05753.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List To Modify the Current Adding Credit Tiers and Add a New Adding Credit Tier2014-03-17T00:00:00-07:002014-03-17T00:00:00-07:002014-05753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05753.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05752.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Reality Shares Isolated Dividend Growth ETF Under NYSE Arca Equities Rule 8.6002014-03-17T00:00:00-07:002014-03-17T00:00:00-07:002014-05752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05752.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05751.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Market Makers To Enter Opening Only Orders in Appointed Options Classes2014-03-17T00:00:00-07:002014-03-17T00:00:00-07:002014-05751Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05751.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05750.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List and To Make the Fee Changes Operative March 1, 20142014-03-17T00:00:00-07:002014-03-17T00:00:00-07:002014-05750Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05750.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05598.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the Bylaws of the Exchange2014-03-14T00:00:00-07:002014-03-14T00:00:00-07:002014-05598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05598.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05597.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2014-03-14T00:00:00-07:002014-03-14T00:00:00-07:002014-05597Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05597.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05596.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity2014-03-14T00:00:00-07:002014-03-14T00:00:00-07:002014-05596Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05596.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05595.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule2014-03-14T00:00:00-07:002014-03-14T00:00:00-07:002014-05595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05595.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05594.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt the Bond Trading License and the Bond Liquidity Provider Programs Pursuant to NYSE Rules 87 and 882014-03-14T00:00:00-07:002014-03-14T00:00:00-07:002014-05594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05594.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05593.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rules Changes Regarding Implementation of Rules To Address Third Party Swap Execution Platforms2014-03-14T00:00:00-07:002014-03-14T00:00:00-07:002014-05593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05593.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05592.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Related to Complex Orders2014-03-14T00:00:00-07:002014-03-14T00:00:00-07:002014-05592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05592.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05631.htmlNotice - George Foreman Enterprises, Inc., MacKay Life Sciences, Inc., Reinsurance Technologies, Ltd. (a/k/a Solution Technology International, Inc.), Tire International Environmental Solutions, Inc., WatchIt Technologies, Inc., Weststar Financial Services Corporation, and WorldSpace, Inc.; Order of Suspension of Trading2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05631.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05629.htmlNotice - Newnan Coweta Bancshares, Inc., Proper Power and Energy Inc., uVuMobile, Inc., WGNB Corp., and YouBlast Global, Inc.; Order of Suspension of Trading2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05629.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05591.htmlNotice - Sunshine Act Meeting2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05591Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05591.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05463.htmlNotice - DFA Investment Dimensions Group Inc., et al.; Notice of Application2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05463.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05462.htmlNotice - Proposed Collection; Comment Request2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05462.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05461.htmlNotice - Proposed Collection; Comment Request2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05461.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05460.htmlNotice - Proposed Collection; Comment Request2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05460.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05459.htmlNotice - Proposed Collection; Comment Request2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05459.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05458.htmlNotice - Submission for OMB Review; Comment Request2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05458.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05457.htmlNotice - Submission for OMB Review; Comment Request2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05457Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05457.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05456.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals, and the Proposed Deletion of Interpretive Guidance2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05456Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05456.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05455.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05455Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05455.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05453.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Reduce a Fee for Orders Routed to Other Trading Centers2014-03-13T00:00:00-07:002014-03-13T00:00:00-07:002014-05453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05453.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05320.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares2014-03-12T00:00:00-07:002014-03-12T00:00:00-07:002014-05320Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05320.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05319.htmlNotice - Submission for OMB Review; Comment Request2014-03-12T00:00:00-07:002014-03-12T00:00:00-07:002014-05319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05319.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05318.htmlNotice - Submission for OMB Review; Comment Request2014-03-12T00:00:00-07:002014-03-12T00:00:00-07:002014-05318Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05318.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05317.htmlNotice - Submission for OMB Review; Comment Request2014-03-12T00:00:00-07:002014-03-12T00:00:00-07:002014-05317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05317.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05316.htmlNotice - Submission for OMB Review; Comment Request2014-03-12T00:00:00-07:002014-03-12T00:00:00-07:002014-05316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05316.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05343.htmlNotice - In the Matter of Suburban Minerals Corp.; Order of Suspension of Trading2014-03-11T00:00:00-07:002014-03-11T00:00:00-07:002014-05343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05343.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05342.htmlNotice - In The Matter Of Global Earth Energy, Inc.; Order of Suspension of Trading2014-03-11T00:00:00-07:002014-03-11T00:00:00-07:002014-05342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05342.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05341.htmlNotice - In the Matter of Broadcast Live Digital Corp.; Order of Suspension of Trading2014-03-11T00:00:00-07:002014-03-11T00:00:00-07:002014-05341Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05341.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05321.htmlNotice - Sunshine Act Meeting2014-03-11T00:00:00-07:002014-03-11T00:00:00-07:002014-05321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05321.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05179.htmlNotice - Self-Regulatory Organizations; Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Orders2014-03-11T00:00:00-07:002014-03-11T00:00:00-07:002014-05179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05179.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05178.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modify the BATS Options Opening Process2014-03-11T00:00:00-07:002014-03-11T00:00:00-07:002014-05178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05178.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05177.htmlNotice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright Focus Five ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M2014-03-11T00:00:00-07:002014-03-11T00:00:00-07:002014-05177Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05177.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05176.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Clerical and Non-Controversial Rule Changes2014-03-11T00:00:00-07:002014-03-11T00:00:00-07:002014-05176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05176.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05175.htmlNotice - Joint Industry Plan; Notice of Filing of the Seventh 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.2014-03-11T00:00:00-07:002014-03-11T00:00:00-07:002014-05175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05175.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05085.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules2014-03-10T00:00:00-07:002014-03-10T00:00:00-07:002014-05085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05085.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05071.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment 1, To Amend Its Rules Related to Complex Orders2014-03-10T00:00:00-07:002014-03-10T00:00:00-07:002014-05071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05071.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05057.htmlRule - Adoption of Updated EDGAR Filer Manual2014-03-10T00:00:00-07:002014-03-10T00:00:00-07:002014-05057Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05057.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05055.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Comply With Recently Adopted Commodity Futures Trading Commission Requirements for Derivatives Clearing Organizations That Accept Deposits of Futures Customer Funds2014-03-10T00:00:00-07:002014-03-10T00:00:00-07:002014-05055Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05055.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05032.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to the Listing and Trading of Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.6002014-03-10T00:00:00-07:002014-03-10T00:00:00-07:002014-05032Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05032.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05031.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to Supervision2014-03-10T00:00:00-07:002014-03-10T00:00:00-07:002014-05031Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05031.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05030.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Adopt a New Pricing Model and Make Other Conforming Changes2014-03-10T00:00:00-07:002014-03-10T00:00:00-07:002014-05030Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05030.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05029.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change to Adopt the MIAX Price Improvement Mechanism2014-03-10T00:00:00-07:002014-03-10T00:00:00-07:002014-05029Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05029.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/07/2014-05084.htmlNotice - Aventura Equities, Inc.; Order of Suspension of Trading2014-03-07T00:00:00-08:002014-03-07T00:00:00-08:002014-05084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-07/pdf/2014-05084.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04927.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402014-03-06T00:00:00-08:002014-03-06T00:00:00-08:002014-04927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04927.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04926.htmlNotice - Submission for OMB Review; Comment Request2014-03-06T00:00:00-08:002014-03-06T00:00:00-08:002014-04926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04926.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04925.htmlNotice - Proposed Collection; Comment Request2014-03-06T00:00:00-08:002014-03-06T00:00:00-08:002014-04925Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04925.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04924.htmlNotice - Proposed Collection; Comment Request2014-03-06T00:00:00-08:002014-03-06T00:00:00-08:002014-04924Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04924.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04923.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Provide Members With a Risk Management Tool That Will Enable Members To Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits Are Reached2014-03-06T00:00:00-08:002014-03-06T00:00:00-08:002014-04923Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04923.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04922.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)2014-03-06T00:00:00-08:002014-03-06T00:00:00-08:002014-04922Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04922.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04921.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Newfleet Multi-Sector Income ETF2014-03-06T00:00:00-08:002014-03-06T00:00:00-08:002014-04921Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04921.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04920.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of Proposed Rule Change To Modify Price Protection Provisions for the Execution of Orders2014-03-06T00:00:00-08:002014-03-06T00:00:00-08:002014-04920Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04920.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04800.htmlNotice - Hatteras Alternative Mutual Funds Trust, et al., Notice of Application2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04800.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04799.htmlNotice - 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 Exchange2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04799.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04798.htmlNotice - 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 Exchange2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04798.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04797.htmlNotice - 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 FINRA2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04797.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04796.htmlNotice - 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 Directors2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04796.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04795.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Uniform Branch Office Registration Form (Form BR)2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04795Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04795.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04794.htmlNotice - 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 Authority2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04794.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04793.htmlNotice - 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 Data2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04793Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04793.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04792.htmlNotice - 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 Reporting2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04792.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04791.htmlNotice - 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 Schedule2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04791.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04790.htmlNotice - 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 Schedule2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04790.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04789.htmlNotice - 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 Units2014-03-05T00:00:00-08:002014-03-05T00:00:00-08:002014-04789Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04789.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04831.htmlNotice - Sunshine Act Meeting2014-03-04T00:00:00-08:002014-03-04T00:00:00-08:002014-04831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04831.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04815.htmlNotice - Trilliant Exploration Corp.; Order of Suspension of Trading2014-03-04T00:00:00-08:002014-03-04T00:00:00-08:002014-04815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04815.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04684.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund and the ETSpreads IG Short Credit Fund Under NYSE Arca Equities Rule 8.6002014-03-04T00:00:00-08:002014-03-04T00:00:00-08:002014-04684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04684.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04683.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow the LSOC With Excess Model for CFTC-Regulated Swaps2014-03-04T00:00:00-08:002014-03-04T00:00:00-08:002014-04683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04683.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04682.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of db-X Ultra-Short Duration Fund and db-X Managed Municipal Bond Fund Under NYSE Arca Equities Rule 8.6002014-03-04T00:00:00-08:002014-03-04T00:00:00-08:002014-04682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04682.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04681.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination (“RTRS Facility”); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements Under G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40, and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-122014-03-04T00:00:00-08:002014-03-04T00:00:00-08:002014-04681Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04681.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04558.htmlNotice - Proposed Collection; Comment Request2014-03-03T00:00:00-08:002014-03-03T00:00:00-08:002014-04558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04558.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04557.htmlNotice - Proposed Collection; Comment Request2014-03-03T00:00:00-08:002014-03-03T00:00:00-08:002014-04557Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04557.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04556.htmlNotice - Submission for OMB Review; Comment Request2014-03-03T00:00:00-08:002014-03-03T00:00:00-08:002014-04556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04556.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04555.htmlNotice - Legg Mason Partners Equity Trust, et al.; Notice of Application2014-03-03T00:00:00-08:002014-03-03T00:00:00-08:002014-04555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04555.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04554.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Schedule of Fees2014-03-03T00:00:00-08:002014-03-03T00:00:00-08:002014-04554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04554.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04553.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Section 17, Which Are Rules Applicable to Securities Known as Fixed Return Options, To Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(b)(1) To Address Obvious Errors in ByRDs2014-03-03T00:00:00-08:002014-03-03T00:00:00-08:002014-04553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04553.pdfhttps://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04552.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting Proceedings to Determine Whether To Disapprove Proposed Rule Changes To Establish an Institutional Liquidity Program on a One-Year Pilot Basis2014-03-03T00:00:00-08:002014-03-03T00:00:00-08:002014-04552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04552.pdf