<![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/2014/05/01?registers=between Thu, 22 May 2025 06:00:41 -0700 Thu, 22 May 2025 06:00:41 -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/2014/05/01?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09972.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09972.html Thu, 01 May 2014 00:00:00 -0700 2014-09972 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09972.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09971.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09971.html Thu, 01 May 2014 00:00:00 -0700 2014-09971 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09971.pdf Notice - Steben Select Multi-Strategy Fund and Steben & Company, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09927.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09927.html Thu, 01 May 2014 00:00:00 -0700 2014-09927 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09927.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09926.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09926.html Thu, 01 May 2014 00:00:00 -0700 2014-09926 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09926.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance the System That Processes Corporate Actions Within NSCC's Continuous Net Settlement System https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09925.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09925.html Thu, 01 May 2014 00:00:00 -0700 2014-09925 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09925.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of Schwab Active Short Duration Income ETF; Schwab TargetDuration 2-Month ETF; Schwab TargetDuration 9-Month ETF; and Schwab TargetDuration 12-Month ETF Under NYSEArca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09924.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09924.html Thu, 01 May 2014 00:00:00 -0700 2014-09924 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09924.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 1064 and 1080 https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09923.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09923.html Thu, 01 May 2014 00:00:00 -0700 2014-09923 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09923.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Adopt the Bond Trading License and the Bond Liquidity Provider Programs Pursuant to NYSE Rules 87 and 88 https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09922.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09922.html Thu, 01 May 2014 00:00:00 -0700 2014-09922 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09922.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Options Orders https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09921.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09921.html Thu, 01 May 2014 00:00:00 -0700 2014-09921 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09921.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Institute an Incentive Program for Market Makers for BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09920.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09920.html Thu, 01 May 2014 00:00:00 -0700 2014-09920 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09920.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of New Rule A-11, on Assessments for Municipal Advisor Professionals https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09919.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09919.html Thu, 01 May 2014 00:00:00 -0700 2014-09919 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09919.pdf Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Governing Letters of Guarantee and Letters of Authorization https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09918.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09918.html Thu, 01 May 2014 00:00:00 -0700 2014-09918 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09918.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Governing Letters of Guarantee and Letters of Authorization https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09917.html https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09917.html Thu, 01 May 2014 00:00:00 -0700 2014-09917 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09917.pdf