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?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-03T01:00:56-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09811.htmlNotice - Proposed Collection; Comment Request2014-04-30T00:00:00-07:002014-04-30T00:00:00-07:002014-09811Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09811.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09810.htmlNotice - Proposed Collection; Comment Request2014-04-30T00:00:00-07:002014-04-30T00:00:00-07:002014-09810Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09810.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09809.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Footnote 4 of the Exchange's Fee Schedule To Permit Members To Designate Their Retail Orders To Be Identified as Retail on the EDGX Book Feed2014-04-30T00:00:00-07:002014-04-30T00:00:00-07:002014-09809Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09809.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09808.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Reality Shares Isolated Dividend Growth Index ETF Under NYSE Arca Equities Rule 5.2(j)(3)2014-04-30T00:00:00-07:002014-04-30T00:00:00-07:002014-09808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09808.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09807.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 Isolated Dividend Growth Index ETF of the Reality Shares ETF Trust Under Rule 57052014-04-30T00:00:00-07:002014-04-30T00:00:00-07:002014-09807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09807.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09806.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 4042014-04-30T00:00:00-07:002014-04-30T00:00:00-07:002014-09806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09806.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09681.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 4758 to Correct a Typographical Error2014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09681Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09681.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09680.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the MIAX PRIME Price Improvement Mechanism and the MIAX PRIME Solicitation Mechanism2014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09680Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09680.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09679.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment 1 Thereto, to Amend Its Rules Related to Complex Orders2014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09679.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09678.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares2014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09678.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09677.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Complex Orders2014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09677.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09676.htmlNotice - 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 Schedule2014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09676Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09676.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09675.htmlNotice - 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 Schedule2014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09675Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09675.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09674.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Reality Shares Isolated Dividend Growth ETF Under NYSE Arca Equities Rule 8.6002014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09674.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09673.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to List and Trade Shares of the iShares Core Allocation Conservative ETF, iShares Core Allocation Moderate ETF, iShares Core Allocation Moderate Growth ETF, and iShares Core Allocation Growth ETF Under NYSE Arca Equities Rule 8.6002014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09673.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09672.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 26 Examination Program2014-04-29T00:00:00-07:002014-04-29T00:00:00-07:002014-09672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09672.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09744.htmlNotice - Sunshine Act Meeting2014-04-28T00:00:00-07:002014-04-28T00:00:00-07:002014-09744Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09744.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09529.htmlNotice - Submission for OMB Review; Comment Request2014-04-28T00:00:00-07:002014-04-28T00:00:00-07:002014-09529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09529.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09528.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of “Third-Party Data”2014-04-28T00:00:00-07:002014-04-28T00:00:00-07:002014-09528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09528.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09527.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 343 and Its Interpretation to Harmonize the NYSE's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form2014-04-28T00:00:00-07:002014-04-28T00:00:00-07:002014-09527Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09527.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09526.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT Rule 343-Equities to Harmonize the NYSE MKT's Rules With Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form2014-04-28T00:00:00-07:002014-04-28T00:00:00-07:002014-09526Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09526.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09525.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change Regarding Adoption of Rule 980.F2014-04-28T00:00:00-07:002014-04-28T00:00:00-07:002014-09525Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09525.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09524.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 9268, 9559, and 9620 To Conform the Exchange's Rules to Changes Recently Adopted by the Financial Industry Regulatory Authority, Inc.2014-04-28T00:00:00-07:002014-04-28T00:00:00-07:002014-09524Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09524.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09523.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quoting Obligations2014-04-28T00:00:00-07:002014-04-28T00:00:00-07:002014-09523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09523.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09398.htmlNotice - Submission for OMB Review; Comment Request2014-04-25T00:00:00-07:002014-04-25T00:00:00-07:002014-09398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09398.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09397.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule With Respect to Securities Priced at $1.00 or Greater2014-04-25T00:00:00-07:002014-04-25T00:00:00-07:002014-09397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09397.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09396.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 1.1, 7.31, 7.34, 7.35, 7.37 and 7.43 To Update Rules Related to the Exchange's Order Types and Modifiers2014-04-25T00:00:00-07:002014-04-25T00:00:00-07:002014-09396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09396.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09395.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Security Futures Risk Disclosure Statement2014-04-25T00:00:00-07:002014-04-25T00:00:00-07:002014-09395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09395.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09394.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice Entitled “NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts”2014-04-25T00:00:00-07:002014-04-25T00:00:00-07:002014-09394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09394.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09393.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing PHLX Proprietary Products2014-04-25T00:00:00-07:002014-04-25T00:00:00-07:002014-09393Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09393.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09392.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing PHLX Proprietary Products2014-04-25T00:00:00-07:002014-04-25T00:00:00-07:002014-09392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09392.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09391.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs2014-04-25T00:00:00-07:002014-04-25T00:00:00-07:002014-09391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09391.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/24/2014-09293.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2014-04-24T00:00:00-07:002014-04-24T00:00:00-07:002014-09293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-24/pdf/2014-09293.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09314.htmlNotice - Valley Forge Composite Technologies, Inc.; Order of Suspension of Trading2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09314Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09314.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09237.htmlNotice - Elkhorn Securities, LLC and Elkhorn Unit Trust; Notice of Application2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09237Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09237.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09236.htmlNotice - Vanguard Admiral Funds, et al.;2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09236Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09236.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09235.htmlNotice - Matthews A Share Selections Fund, LLC, et al.;2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09235Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09235.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09212.htmlNotice - UBS AG, et al.;2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09212.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09211.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving Proposed Rule Change To Modify Price Protection Provisions for the Execution of Orders2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09211.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09210.htmlNotice - 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 Order2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09210Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09210.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09209.htmlNotice - 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 Order2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09209.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09208.htmlNotice - 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, Incorporated2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09208.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09207.htmlNotice - 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)2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09207.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09206.htmlNotice - 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)2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09206.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09205.htmlNotice - 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. EST2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09205.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09204.htmlNotice - 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 7.442014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09204.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09203.htmlNotice - 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)2014-04-23T00:00:00-07:002014-04-23T00:00:00-07:002014-09203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09203.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09213.htmlNotice - Sunshine Act Meeting2014-04-22T00:00:00-07:002014-04-22T00:00:00-07:002014-09213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09213.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09080.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of a Proposed Rule Change Amending Section 17, Which Are Rules Applicable to Securities Known as Fixed Return Options, To Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(d)(1) To Address Obvious Errors in ByRDs2014-04-22T00:00:00-07:002014-04-22T00:00:00-07:002014-09080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09080.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09079.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or More2014-04-22T00:00:00-07:002014-04-22T00:00:00-07:002014-09079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09079.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09078.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Bylaws of the Exchange Relating to the Nomination and Election of the Vice Chairman2014-04-22T00:00:00-07:002014-04-22T00:00:00-07:002014-09078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09078.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09077.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7130 (Execution and Price/Time Priority) To Include Public Customer Bid/Ask Volume Information in BOX's Proprietary High Speed Vendor Feed (“HSVF”)2014-04-22T00:00:00-07:002014-04-22T00:00:00-07:002014-09077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09077.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09076.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Amend Certain of Its NYSE MKT Equities Rule Series (500 through 525) To Permit Additional Securities To Be Admitted to Dealings on the Exchange Pursuant to a Grant of Unlisted Trading Privileges2014-04-22T00:00:00-07:002014-04-22T00:00:00-07:002014-09076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09076.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/21/2014-08974.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2014-04-21T00:00:00-07:002014-04-21T00:00:00-07:002014-08974Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-21/pdf/2014-08974.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/21/2014-08973.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding Transaction Fees and Credits2014-04-21T00:00:00-07:002014-04-21T00:00:00-07:002014-08973Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-21/pdf/2014-08973.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/21/2014-08972.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance NSCC's Existing Parametric Value-at-Risk Margining Model2014-04-21T00:00:00-07:002014-04-21T00:00:00-07:002014-08972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-21/pdf/2014-08972.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/21/2014-08971.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees; Correction2014-04-21T00:00:00-07:002014-04-21T00:00:00-07:002014-08971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-21/pdf/2014-08971.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/18/2014-08825.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2014-04-18T00:00:00-07:002014-04-18T00:00:00-07:002014-08825Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-18/pdf/2014-08825.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/18/2014-08823.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2014-04-18T00:00:00-07:002014-04-18T00:00:00-07:002014-08823Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-18/pdf/2014-08823.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/18/2014-08822.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2014-04-18T00:00:00-07:002014-04-18T00:00:00-07:002014-08822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-18/pdf/2014-08822.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/18/2014-08791.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund, and the ETSpreads IG Short Credit Fund Under NYSE Arca Equities Rule 8.6002014-04-18T00:00:00-07:002014-04-18T00:00:00-07:002014-08791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-18/pdf/2014-08791.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08689.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2014-04-17T00:00:00-07:002014-04-17T00:00:00-07:002014-08689Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08689.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08688.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2014-04-17T00:00:00-07:002014-04-17T00:00:00-07:002014-08688Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08688.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08687.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Amex Options Market Data, Operative on April 1, 20142014-04-17T00:00:00-07:002014-04-17T00:00:00-07:002014-08687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08687.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08686.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Arca Options Market Data, Operative on April 1, 20142014-04-17T00:00:00-07:002014-04-17T00:00:00-07:002014-08686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08686.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08685.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .13 to Rule 5042014-04-17T00:00:00-07:002014-04-17T00:00:00-07:002014-08685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08685.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08684.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 4120(c)(8) With Respect to Initial Pricing of Certain Securities Not Subject to an Initial Public Offering2014-04-17T00:00:00-07:002014-04-17T00:00:00-07:002014-08684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08684.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/16/2014-08585.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Clarify How Certain Securities Are Classified and Reported to FINRA2014-04-16T00:00:00-07:002014-04-16T00:00:00-07:002014-08585Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-16/pdf/2014-08585.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08586.htmlNotice - Sunshine Act Meeting2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08586Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08586.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08527.htmlNotice - 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 70182014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08527Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08527.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08526.htmlNotice - Ivy Funds, et al.;2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08526Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08526.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08422.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change To Clear New Sovereign Contracts2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08422.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08421.htmlNotice - 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 Information2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08421.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08420.htmlNotice - 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 Schedule2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08420.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08419.htmlNotice - 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 Schedule2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08419.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08418.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08418.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08417.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08417Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08417.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08416.htmlNotice - 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 III2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08416.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08415.htmlNotice - 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 Pricing2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08415Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08415.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08414.htmlNotice - 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 Systems2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08414Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08414.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08413.htmlNotice - 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 Changes2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08413Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08413.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08412.htmlNotice - 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 ETF2014-04-15T00:00:00-07:002014-04-15T00:00:00-07:002014-08412Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08412.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08475.htmlNotice - In the Matter of GrowLife, Inc., File No. 500-1; Order of Suspension of Trading2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08475Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08475.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08299.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Emergency and Extraordinary Market Conditions2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08299.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08287.htmlNotice - ALPS ETF Trust, et al.; Notice of Application2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08287Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08287.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08286.htmlNotice - Professionally Managed Portfolios and Balter Liquid Alternatives, LLC; Notice of Application2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08286Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08286.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08285.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08285Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08285.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08284.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08284Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08284.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08283.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08283Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08283.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08282.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08282Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08282.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08281.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities Governing Pegging Interest2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08281.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08280.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Governing Pegging Interest2014-04-14T00:00:00-07:002014-04-14T00:00:00-07:002014-08280Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08280.pdfhttps://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.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08058.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-08058Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08058.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08057.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-08057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08057.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08005.htmlNotice - Proposed Collection; Comment Request2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-08005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08005.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08003.htmlNotice - Submission for OMB Review; Comment Request2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-08003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08003.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08002.htmlNotice - Submission for OMB Review; Comment Request2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-08002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08002.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08001.htmlNotice - Proposed Collection; Comment Request2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-08001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08001.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08000.htmlNotice - Submission for OMB Review; Comment Request2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-08000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08000.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07999.htmlNotice - Submission for OMB Review; Comment Request2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-07999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07999.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07998.htmlNotice - Submission for OMB Review; Comment Request2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-07998Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07998.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07997.htmlNotice - Proposed Collection; Comment Request2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-07997Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07997.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07995.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Applicable to Rule 530 Relating to Limit Up/Limit Down2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-07995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07995.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07994.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the End of Trading on CBSX2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-07994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07994.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07993.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Managed Data Solution for Non-Display Usage2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-07993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07993.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07992.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretive Material to BOX Rule 5050 To Replace the Reference To “GOOG” With “GOOGL”2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-07992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07992.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07991.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rule 24.192014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-07991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07991.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07990.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules2014-04-10T00:00:00-07:002014-04-10T00:00:00-07:002014-07990Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07990.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07952.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, Until February 20, 20152014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07952.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07951.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, Until February 20, 20152014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07951Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07951.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07894.htmlNotice - FundVantage Trust, et al.; Notice of Application2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07894.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07893.htmlNotice - Direxion Shares ETF Trust, et al.; Notice of Application2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07893.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07892.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07892.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07891.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07891.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07890.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Fix Technical Errors2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07890Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07890.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07889.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Enhance the Exchange Audit Trail2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07889Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07889.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07888.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule of Its CBOE Stock Exchange2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07888Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07888.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07887.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.252014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07887Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07887.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07886.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.152014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07886Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07886.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07885.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program That Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07885Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07885.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07884.htmlNotice - Self-Regulatory Organizations; ISE Gemini Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Market Makers To Enter Opening Only Orders in Appointed Options Classes2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07884Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07884.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07883.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clarifications to Its Chapter 7 Delivery Rules2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07883.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07882.htmlNotice - Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB Accounting Support Fee for 2014 Under Section 109 of the Sarbanes-Oxley Act of 20022014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07882Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07882.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07881.htmlNotice - Joint Industry Plan; Order Approving the Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07881.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07869.htmlProposed Rule - Investment Company Advertising: Target Date Retirement Fund Names and Marketing2014-04-09T00:00:00-07:002014-04-09T00:00:00-07:002014-07869Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07869.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/08/C1-2014-07353.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 To Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order2014-04-08T00:00:00-07:002014-04-08T00:00:00-07:00C1-2014-07353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-08/pdf/C1-2014-07353.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/08/2014-07766.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 5.52014-04-08T00:00:00-07:002014-04-08T00:00:00-07:002014-07766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-08/pdf/2014-07766.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07840.htmlNotice - Sunshine Act Meeting2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07840Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07840.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07656.htmlNotice - Proposed Collection; Comment Request2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07656.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07655.htmlNotice - Proposed Collection; Comment Request2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07655.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07643.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Change Which Would Authorize the Executive Chairman, the Management Vice Chairman, or the President To Delegate to Other OCC Officers Their Authority To Review and Approve Certain Clearing Member Business Expansion Requests and Changes in Facilities Management Arrangements, Provided That Such Delegate Is an Officer of the Rank of Senior Vice President or Higher2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07643Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07643.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07642.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07642Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07642.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07641.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07641Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07641.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07640.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to Its MXN OTC IRS Clearing Offering2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07640Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07640.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07639.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to CME Rule 281H.02.A. Regarding CME's Cleared OTC U.S. Dollar/Indonesian Rupiah (USD/IDR) Spot, Forwards and Swaps Contracts2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07639Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07639.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07638.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Impose an Extranet Access Fee2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07638.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07637.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07637Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07637.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07636.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07636Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07636.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07635.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 98-Equities To Adopt a Principles-based Approach To Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07635.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07634.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 98 To Adopt a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07634.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07633.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program2014-04-07T00:00:00-07:002014-04-07T00:00:00-07:002014-07633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07633.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/04/2014-07686.htmlNotice - Sunshine Act Meeting2014-04-04T00:00:00-07:002014-04-04T00:00:00-07:002014-07686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-04/pdf/2014-07686.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/04/2014-07512.htmlNotice - MetLife Insurance Company of Connecticut, et al.; Notice of Application2014-04-04T00:00:00-07:002014-04-04T00:00:00-07:002014-07512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-04/pdf/2014-07512.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/04/2014-07511.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 623 (“Options Communications”) To Conform With the Rules of the Financial Industry Regulatory Authority Inc.2014-04-04T00:00:00-07:002014-04-04T00:00:00-07:002014-07511Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-04/pdf/2014-07511.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/03/2014-07523.htmlNotice - Aclor International, Inc., Acrongenomics, Inc., Diversified Global Holdings Group, Inc., FutureIT, Inc., Southern Star Energy, Inc., and W Holding Co., Inc.; Order of Suspension of Trading2014-04-03T00:00:00-07:002014-04-03T00:00:00-07:002014-07523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-03/pdf/2014-07523.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/03/2014-07471.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402014-04-03T00:00:00-07:002014-04-03T00:00:00-07:002014-07471Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-03/pdf/2014-07471.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/03/2014-07470.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions2014-04-03T00:00:00-07:002014-04-03T00:00:00-07:002014-07470Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-03/pdf/2014-07470.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/03/2014-07424.htmlNotice - Minnesota Life Insurance Company, et al.; Notice of Application2014-04-03T00:00:00-07:002014-04-03T00:00:00-07:002014-07424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-03/pdf/2014-07424.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07358.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07358.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07357.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program, Which Currently Is Set To Expire on March 28, 2014, for an Additional Six Months2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07357.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07356.htmlProposed Rule - Extension of Comment Period for Asset-Backed Securities Release2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07356Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07356.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07354.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07354.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07353.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 To Specifically Address the Number and Size of Contra-Parties To a Qualified Contingent Cross Order2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07353.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07352.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY To Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07352.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07346.htmlNotice - Investor Advisory Committee Meeting2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07346Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07346.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07286.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128, Entitled “Clearly Erroneous Executions For NYSE Equities”2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07286Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07286.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07285.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128-Equities, Entitled “Clearly Erroneous Executions For Equities”2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07285Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07285.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07279.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, As Modified by Amendment No. 1, To Clarify the Classification and Reporting of Certain Securities to FINRA2014-04-02T00:00:00-07:002014-04-02T00:00:00-07:002014-07279Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07279.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07281.htmlNotice - Sunshine Act Meeting2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07281.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07232.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07232Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07232.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07195.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Trading Ahead of Customer Orders2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07195.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07194.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 12.6 to Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Trading Ahead of Customer Orders2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07194.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07193.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Update ICC's Liquidity Thresholds for Euro Denominated Products2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07193.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07192.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGX Exchange, Inc.2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07192.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07191.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGA Exchange, Inc.2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07191.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07189.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 Relating to Clearly Erroneous Trades2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07189.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07188.htmlNotice - Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s Crowd Participant Program Pilot2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07188.pdfhttps://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07187.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New NYSE Arca Equities Rule 7.25 To Create a Crowd Participant Program on a Pilot Basis To Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified With the Exchange as CPs2014-04-01T00:00:00-07:002014-04-01T00:00:00-07:002014-07187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07187.pdf