<![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/2014/04/11?registers=between Sun, 22 Dec 2024 11:21:34 -0800 Sun, 22 Dec 2024 11:21:34 -0800 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/2014/04/11?registers=between Notice - ARK ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08131.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08131.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08131 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08131.pdf Notice - 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 SM https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08130.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08130.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08130 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08130.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08129.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08129.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08129 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08129.pdf Notice - 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 Personnel https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08128.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08128.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08128 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08128.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08127.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08127.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08127 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08127.pdf Notice - 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 Rebate https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08126.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08126.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08126 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08126.pdf Notice - 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 Opening https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08125.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08125.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08125 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08125.pdf Notice - 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 Opening https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08124.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08124.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08124 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08124.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08123.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08123.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08123 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08123.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08122.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08122.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08122 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08122.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08121.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08121.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08121 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08121.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 703A https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08120.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08120.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08120 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08120.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Appointment Adjustments https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08119.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08119.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08119 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08119.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08004.html https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08004.html Fri, 11 Apr 2014 00:00:00 -0700 2014-08004 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08004.pdf