<![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/2014/04/15?registers=between Sun, 22 Dec 2024 13:01:54 -0800 Sun, 22 Dec 2024 13:01:54 -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/2014/04/15?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08586.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08586.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08586 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08586.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program Under Rule 7014, and the Schedule of Fees and Rebates Under Rule 7018 https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08527.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08527.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08527 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08527.pdf Notice - Ivy Funds, et al.; https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08526.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08526.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08526 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08526.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change To Clear New Sovereign Contracts https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08422.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08422.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08422 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08422.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Establish a Fee Schedule for Alternative Trading System Volume Information https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08421.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08421.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08421 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08421.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08420.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08420.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08420 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08420.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08419.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08419.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08419 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08419.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08418.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08418.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08418 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08418.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08417.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08417.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08417 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08417.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08416.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08416.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08416 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08416.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Raise the Fee and Fee Cap for Market and Auction-Only Orders Executed in an Opening, Market Order or Trading Halt Auction; Modify the Fees Charges for Routing Orders To The New York Stock Exchange LLC; and Modify Certain Credits in the Basic Rate Pricing https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08415.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08415.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08415 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08415.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08414.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08414.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08414 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08414.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets and Make Additional, Conforming, Rule Changes https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08413.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08413.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08413 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08413.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule To Change the Time By Which Purchase Orders and Redemption Orders Must Be Placed With Respect to the Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08412.html https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08412.html Tue, 15 Apr 2014 00:00:00 -0700 2014-08412 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08412.pdf