<![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/2014/04/23?registers=between Thu, 26 Jun 2025 22:43:17 -0700 Thu, 26 Jun 2025 22:43:17 -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/2014/04/23?registers=between Notice - Valley Forge Composite Technologies, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09314.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09314.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09314 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09314.pdf Notice - Elkhorn Securities, LLC and Elkhorn Unit Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09237.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09237.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09237 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09237.pdf Notice - Vanguard Admiral Funds, et al.; https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09236.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09236.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09236 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09236.pdf Notice - Matthews A Share Selections Fund, LLC, et al.; https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09235.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09235.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09235 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09235.pdf Notice - UBS AG, et al.; https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09212.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09212.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09212 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09212.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving Proposed Rule Change To Modify Price Protection Provisions for the Execution of Orders https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09211.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09211.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09211 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09211.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09210.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09210.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09210 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09210.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09209.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09209.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09209 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09209.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09208.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09208.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09208 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09208.pdf 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) https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09207.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09207.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09207 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09207.pdf 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) https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09206.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09206.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09206 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09206.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09205.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09205.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09205 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09205.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09204.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09204.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09204 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09204.pdf 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) https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09203.html https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09203.html Wed, 23 Apr 2014 00:00:00 -0700 2014-09203 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09203.pdf