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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-23T20:00:56-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07230.html Notice - In the Matter of Citadel EFT, Inc.; Order of Suspension of Trading 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07230 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07230.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07229.html Notice - 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 Trading 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07229 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07229.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07226.html Notice - In the Matter of Advanced Cannabis Solutions, Inc.; Order of Suspension of Trading 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07226 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07226.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07190.html Notice - 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” 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07190 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07190.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07054.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07054 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07054.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07045.html Notice - Submission for OMB Review; Comment Request 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07045 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07045.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07044.html Notice - Submission for OMB Review; Comment Request 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07044 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07044.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07043.html Notice - Submission for OMB Review; Comment Request 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07043 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07043.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07042.html Notice - 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 Product 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07042 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07042.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07041.html Notice - 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 Policy 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07041 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07041.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07040.html Notice - 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” 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07040 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07040.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07039.html Notice - 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 Strategies 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07039 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07039.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07038.html Notice - 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 7018 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07038 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07038.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07037.html Notice - 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) 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07037 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07037.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07036.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding New Permitted Cover 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07036 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07036.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07035.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding New Permitted Cover 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07035 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07035.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07014.html Notice - 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. 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07014 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07014.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07013.html Notice - 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. 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07013 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07013.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/C1-2014-06126.html Notice - Submission for OMB Review; Comment Request 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 C1-2014-06126 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/C1-2014-06126.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-07055.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-07055 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-07055.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06967.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06967 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06967.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06966.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06966 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06966.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06965.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06965 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06965.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06896.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06896 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06896.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06895.html 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) 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06895 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06895.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06894.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06894 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06894.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06893.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06893 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06893.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06892.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06892 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06892.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06891.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06891 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06891.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06890.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06890 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06890.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06889.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06889 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06889.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06887.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06887 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06887.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06886.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06886 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06886.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06885.html 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 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06885 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06885.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06764.html Notice - Submission for OMB Review; Comment Request 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06764 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06764.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06763.html Notice - Submission for OMB Review; Comment Request 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06763 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06763.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06762.html Notice - Empowered Funds, LLC and Empowered Funds ETF Trust; Notice of Application 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06762 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06762.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06761.html Notice - 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 Schedule 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06761 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06761.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06760.html Notice - 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 8.600 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06760 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06760.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06759.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06759 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06759.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06758.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To List and Trade CBOE Short-Term Volatility Index Options 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06758 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06758.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06610.html Notice - Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc.; Notice of Application 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06610 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06610.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06609.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06609 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06609.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06608.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06608 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06608.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06607.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06607 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06607.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06606.html Notice - Proposed Collection; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06606 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06606.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06605.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06605 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06605.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06604.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06604 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06604.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06603.html Notice - Proposed Collection; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06603 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06603.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06602.html Notice - Proposed Collection; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06602 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06602.pdf