<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2014/04/02?registers=between Mon, 09 Jun 2025 11:28:52 -0700 Mon, 09 Jun 2025 11:28:52 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2014/04/02?registers=between Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07358.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07358.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07358 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07358.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program, Which Currently Is Set To Expire on March 28, 2014, for an Additional Six Months https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07357.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07357.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07357 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07357.pdf Proposed Rule - Extension of Comment Period for Asset-Backed Securities Release https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07356.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07356.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07356 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07356.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07354.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07354.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07354 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07354.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 To Specifically Address the Number and Size of Contra-Parties To a Qualified Contingent Cross Order https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07353.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07353.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07353 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07353.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY To Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07352.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07352.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07352 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07352.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07346.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07346.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07346 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07346.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128, Entitled “Clearly Erroneous Executions For NYSE Equities” https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07286.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07286.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07286 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07286.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128-Equities, Entitled “Clearly Erroneous Executions For Equities” https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07285.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07285.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07285 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07285.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, As Modified by Amendment No. 1, To Clarify the Classification and Reporting of Certain Securities to FINRA https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07279.html https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07279.html Wed, 02 Apr 2014 00:00:00 -0700 2014-07279 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07279.pdf