<![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/2014/04/09?registers=between Sat, 12 Jul 2025 09:48:13 -0700 Sat, 12 Jul 2025 09:48:13 -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/2014/04/09?registers=between Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, Until February 20, 2015 https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07952.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07952.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07952 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07952.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, Until February 20, 2015 https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07951.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07951.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07951 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07951.pdf Notice - FundVantage Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07894.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07894.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07894 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07894.pdf Notice - Direxion Shares ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07893.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07893.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07893 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07893.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07892.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07892.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07892 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07892.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07891.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07891.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07891 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07891.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Fix Technical Errors https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07890.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07890.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07890 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07890.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Enhance the Exchange Audit Trail https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07889.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07889.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07889 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07889.pdf 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 of Its CBOE Stock Exchange https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07888.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07888.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07888 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07888.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.25 https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07887.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07887.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07887 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07887.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.15 https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07886.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07886.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07886 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07886.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program That Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07885.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07885.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07885 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07885.pdf Notice - Self-Regulatory Organizations; ISE Gemini Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Market Makers To Enter Opening Only Orders in Appointed Options Classes https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07884.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07884.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07884 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07884.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clarifications to Its Chapter 7 Delivery Rules https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07883.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07883.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07883 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07883.pdf Notice - Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB Accounting Support Fee for 2014 Under Section 109 of the Sarbanes-Oxley Act of 2002 https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07882.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07882.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07882 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07882.pdf Notice - Joint Industry Plan; Order Approving 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. https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07881.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07881.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07881 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07881.pdf Proposed Rule - Investment Company Advertising: Target Date Retirement Fund Names and Marketing https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07869.html https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07869.html Wed, 09 Apr 2014 00:00:00 -0700 2014-07869 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07869.pdf