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/2014/04/23?limit=200&registers=between&mode=atom 2024-12-22T11:38:39-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09314.html Notice - Valley Forge Composite Technologies, Inc.; Order of Suspension of Trading 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09314 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09314.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09237.html Notice - Elkhorn Securities, LLC and Elkhorn Unit Trust; Notice of Application 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09237 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09237.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09236.html Notice - Vanguard Admiral Funds, et al.; 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09236 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09236.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09235.html Notice - Matthews A Share Selections Fund, LLC, et al.; 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09235 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09235.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09212.html Notice - UBS AG, et al.; 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09212 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09212.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09211.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving Proposed Rule Change To Modify Price Protection Provisions for the Execution of Orders 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09211 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09211.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09210.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY (Orders Defined) To Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09210 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09210.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09209.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 To Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09209 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09209.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09208.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., the Chicago Board Options Exchange, Incorporated, and C2 Options Exchange, Incorporated 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09208 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09208.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09207.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its ROOC Routing Option Under EDGX Rule 11.9(b)(2)(n) 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09207 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09207.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09206.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its ROOC Routing Option Under EDGA Rule 11.9(b)(2)(n) 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09206 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09206.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09205.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Clarify the Rule Governing the Operation of the Closing Cross in Circumstances Where a Pause Triggered Under the LULD Plan Would Be Triggered After 3:50 p.m. EST 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09205 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09205.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09204.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Schedule for Implementing the Exchange's Recently Approved Retail Liquidity Program Pursuant to NYSE Arca Equities Rule 7.44 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09204 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09204.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09203.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information) 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09203 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09203.pdf