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=atom2024-05-23T20:00:56-07:00Justia 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.pdf