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/2014/04/11?limit=200®isters=between&mode=atom2024-12-22T11:51:46-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08131.htmlNotice - ARK ETF Trust, et al.; Notice of Application2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08131.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08130.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and To List and Trade Shares of the ActiveShares SM2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08130.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08129.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of Hull Tactical US ETF Under NYSE Arca Equities Rule 8.6002014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08129.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08128.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Certain Enhancements and Clarifications With Respect to OCC's Indemnification of Its Directors, Officers and Other Personnel2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08128.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08127.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares Multi-Strategy Alternative Portfolio, a series of PowerShares Actively Managed Exchange-Traded Fund Trust2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08127.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08126.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Request for Comment and Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Offer a Customer Rebate2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08126.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08125.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Certain Executions at the Opening2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08125.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08124.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Certain Executions at the Opening2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08124Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08124.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08123.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Clarify the Largest Provisional Net Credit Procedures2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08123Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08123.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08122.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08122Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08122.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08121.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08121.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08120.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 703A2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08120.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08119.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Appointment Adjustments2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08119.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08004.htmlNotice - Submission for OMB Review; Comment Request2014-04-11T00:00:00-07:002014-04-11T00:00:00-07:002014-08004Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08004.pdf