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/2014/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-04T13:33:34-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/06/30/2014-15394.htmlNotice - Sunshine Act Meetings2014-06-30T00:00:00-07:002014-06-30T00:00:00-07:002014-15394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-30/pdf/2014-15394.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/30/2014-15206.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of the PIMCO Income Exchange-Traded Fund Under NYSE Arca Equities Rule 8.6002014-06-30T00:00:00-07:002014-06-30T00:00:00-07:002014-15206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-30/pdf/2014-15206.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/30/2014-15205.htmlNotice - Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a Tick Size Pilot Plan2014-06-30T00:00:00-07:002014-06-30T00:00:00-07:002014-15205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-30/pdf/2014-15205.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/30/2014-15204.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)2014-06-30T00:00:00-07:002014-06-30T00:00:00-07:002014-15204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-30/pdf/2014-15204.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/30/2014-15203.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposal To Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF Repo® Service2014-06-30T00:00:00-07:002014-06-30T00:00:00-07:002014-15203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-30/pdf/2014-15203.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/30/2014-15202.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Market Maker Risk Parameters2014-06-30T00:00:00-07:002014-06-30T00:00:00-07:002014-15202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-30/pdf/2014-15202.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/30/2014-15201.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to Market Maker Risk Parameters2014-06-30T00:00:00-07:002014-06-30T00:00:00-07:002014-15201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-30/pdf/2014-15201.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/30/2014-15200.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Changes to the Name of, and the Means of Seeking the Investment Objective Applicable to, the PIMCO Real Return Exchange-Traded Fund2014-06-30T00:00:00-07:002014-06-30T00:00:00-07:002014-15200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-30/pdf/2014-15200.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/30/2014-15199.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 2, Regarding the Short-Term Option Series Program2014-06-30T00:00:00-07:002014-06-30T00:00:00-07:002014-15199Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-30/pdf/2014-15199.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/27/2014-15277.htmlNotice - Sunshine Act Meeting2014-06-27T00:00:00-07:002014-06-27T00:00:00-07:002014-15277Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-27/pdf/2014-15277.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/27/2014-15253.htmlNotice - Sunshine Act Meeting2014-06-27T00:00:00-07:002014-06-27T00:00:00-07:002014-15253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-27/pdf/2014-15253.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/27/2014-15228.htmlNotice - Medient Studios, Inc., TISO; Order of Suspension of Trading2014-06-27T00:00:00-07:002014-06-27T00:00:00-07:002014-15228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-27/pdf/2014-15228.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/27/2014-15029.htmlNotice - College Retirement Equities Fund, et al.; Notice of Application2014-06-27T00:00:00-07:002014-06-27T00:00:00-07:002014-15029Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-27/pdf/2014-15029.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/27/2014-15028.htmlNotice - Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc.; Notice of Application2014-06-27T00:00:00-07:002014-06-27T00:00:00-07:002014-15028Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-27/pdf/2014-15028.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/27/2014-15027.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading2014-06-27T00:00:00-07:002014-06-27T00:00:00-07:002014-15027Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-27/pdf/2014-15027.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/27/2014-14979.htmlProposed Rule - Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes2014-06-27T00:00:00-07:002014-06-27T00:00:00-07:002014-14979Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-27/pdf/2014-14979.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/26/2014-15053.htmlNotice - In the Matter of BioMedical Technology Solutions Holdings, Inc., Chaolei Marketing and Finance Company, Clear-Lite Holdings, Inc., Encompass Group Affiliates, Inc. (n/k/a Re-Act Enterprises, Inc.), Hydron Technologies, Inc., Sun American Bancorp, and XenaCare Holdings, Inc.; File No. 500-1; Order of Suspension of Trading2014-06-26T00:00:00-07:002014-06-26T00:00:00-07:002014-15053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-26/pdf/2014-15053.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/26/2014-15013.htmlNotice - Investor Advisory Committee Meeting2014-06-26T00:00:00-07:002014-06-26T00:00:00-07:002014-15013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-26/pdf/2014-15013.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/26/2014-14971.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Order Type Called the Mid-Point Discretionary Order2014-06-26T00:00:00-07:002014-06-26T00:00:00-07:002014-14971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-26/pdf/2014-14971.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/26/2014-14944.htmlNotice - Cohen & Steers ETF Trust, et al., Notice of Application2014-06-26T00:00:00-07:002014-06-26T00:00:00-07:002014-14944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-26/pdf/2014-14944.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/26/2014-14942.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)2014-06-26T00:00:00-07:002014-06-26T00:00:00-07:002014-14942Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-26/pdf/2014-14942.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/26/2014-14941.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the Nasdaq Opening Cross Contingency2014-06-26T00:00:00-07:002014-06-26T00:00:00-07:002014-14941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-26/pdf/2014-14941.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/26/2014-14940.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Update OCX's Rulebook for Filings Previously Made with the Commodity Futures Trading Commission2014-06-26T00:00:00-07:002014-06-26T00:00:00-07:002014-14940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-26/pdf/2014-14940.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/26/2014-14939.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 To List and Trade Shares of Fidelity® Corporate Bond ETF Managed Shares Under NYSE Arca Equities Rule 8.6002014-06-26T00:00:00-07:002014-06-26T00:00:00-07:002014-14939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-26/pdf/2014-14939.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/25/2014-14798.htmlNotice - Elkhorn Investments, LLC and Elkhorn ETF Trust; Notice of Application2014-06-25T00:00:00-07:002014-06-25T00:00:00-07:002014-14798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-25/pdf/2014-14798.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/25/2014-14781.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Provide for the Clearance of Additional Non-Investment Grade Instruments on Standard North American Corporate Single Name Reference Entities2014-06-25T00:00:00-07:002014-06-25T00:00:00-07:002014-14781Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-25/pdf/2014-14781.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/25/2014-14780.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Transfer the NIIDS Service to a Non-Clearing Agency Affiliate2014-06-25T00:00:00-07:002014-06-25T00:00:00-07:002014-14780Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-25/pdf/2014-14780.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/25/2014-14779.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS-Y Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions2014-06-25T00:00:00-07:002014-06-25T00:00:00-07:002014-14779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-25/pdf/2014-14779.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/25/2014-14778.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Holdings in Equity Securities by the Peritus High Yield ETF2014-06-25T00:00:00-07:002014-06-25T00:00:00-07:002014-14778Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-25/pdf/2014-14778.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/25/2014-14777.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Use of U.S. Exchange-Listed Options by the AdvisorShares EquityPro ETF (Formerly, the Global Alpha & Beta ETF)2014-06-25T00:00:00-07:002014-06-25T00:00:00-07:002014-14777Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-25/pdf/2014-14777.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14772.htmlNotice - Sunshine Act Meeting; Notice2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14772.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14694.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market 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 List and Trade Shares of the AdvisorShares Sunrise Global Multi-Strategy ETF of AdvisorShares Trust2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14694Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14694.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14693.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14693Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14693.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14662.htmlNotice - Submission for OMB Review; Comment Request2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14662Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14662.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14661.htmlNotice - Submission for OMB Review; Comment Request2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14661Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14661.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14660.htmlNotice - Submission for OMB Review; Comment Request2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14660.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14659.htmlNotice - Northern Lights Fund Trust, et al.; Notice of Application2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14659.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14658.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Related to List of Permitted Cover2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14658.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14657.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Fee Waiver Program for Certain OTC FX Cleared-Only Products2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14657.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14656.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Fidelity Investment Grade Bond ETF; Fidelity Limited Term Bond ETF; and Fidelity Total Bond ETF Under NYSE Arca Equities Rule 8.6002014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14656.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/24/2014-14655.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision2014-06-24T00:00:00-07:002014-06-24T00:00:00-07:002014-14655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-24/pdf/2014-14655.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14695.htmlNotice - Sunshine Act Meeting2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14695Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14695.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14542.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Establish a Billing Dispute Practice2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14542.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14541.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change Relating to the Listing and Trading of the Shares of the Calamos Focus Growth ETF of the Calamos ETF Trust2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14541Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14541.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14540.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14540Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14540.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14539.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Physical Delivery of CLS-Eligible Foreign Currencies2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14539Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14539.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14538.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearance of New Energy Futures and Options Contracts2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14538.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14537.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exercise Limits2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14537.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14536.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exercise Limits2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14536.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14535.htmlNotice - Self-Regulatory Organizations: Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Rule 5152014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14535.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14534.htmlNotice - Elkhorn Investments, LLC and Elkhorn ETF Trust; Notice of Application2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14534.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/23/2014-14533.htmlNotice - Global X Funds, Global X Management Company LLC, and SEI Investments Distribution Company; Notice of Application2014-06-23T00:00:00-07:002014-06-23T00:00:00-07:002014-14533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-23/pdf/2014-14533.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/20/2014-14558.htmlNotice - In the Matter of AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.), Baeta Corp., China Jianye Fuel, Inc., Cordex Pharma, Inc., Diamondhead Casino Corporation, Emerald Dairy, Inc., and Kentucky Energy, Inc.; Order of Suspension of Trading2014-06-20T00:00:00-07:002014-06-20T00:00:00-07:002014-14558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-20/pdf/2014-14558.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/20/2014-14444.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change on Bid/Offer Differentials for In-The-Money Option Series2014-06-20T00:00:00-07:002014-06-20T00:00:00-07:002014-14444Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-20/pdf/2014-14444.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/20/2014-14443.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of a Proposed Rule Change on Bid/Offer Differentials for In-The-Money Option Series2014-06-20T00:00:00-07:002014-06-20T00:00:00-07:002014-14443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-20/pdf/2014-14443.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/20/2014-14442.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to New York Portfolio Clearing, LLC in the Rules of the Government Securities Division and in the Cross-Margining Agreement With the Chicago Mercantile Exchange2014-06-20T00:00:00-07:002014-06-20T00:00:00-07:002014-14442Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-20/pdf/2014-14442.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/20/2014-14421.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing in Multiply Listed Options2014-06-20T00:00:00-07:002014-06-20T00:00:00-07:002014-14421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-20/pdf/2014-14421.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/20/2014-14420.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Update ICC's Policy Regarding Valuation of Maturing U.S. Treasury Securities and Update ICC's Collateral Asset Haircut Methodology2014-06-20T00:00:00-07:002014-06-20T00:00:00-07:002014-14420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-20/pdf/2014-14420.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/20/2014-14417.htmlRule - Adoption of Updated EDGAR Filer Manual2014-06-20T00:00:00-07:002014-06-20T00:00:00-07:002014-14417Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-20/pdf/2014-14417.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14439.htmlNotice - In the Matter of Crescent Banking Co., Data Storage Consulting Services, Inc., First National Bancshares, Inc., Infosmart Group, Inc., Marco Community Bancorp, Inc., and Sun River Energy, Inc. (n/k/a New River Exploration, Inc.); Order of Suspension of Trading2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14439Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14439.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14438.htmlNotice - In the Matter of Applied NeuroSolutions, Inc., Cowlitz Bancorporation, First Place Financial Corp., and Kedem Pharmaceuticals, Inc.; Order of Suspension of Trading2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14438Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14438.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14319.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether the Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14319Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14319.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14318.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information; Correction2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14318Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14318.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14317.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 DIVS Index ETF of the Reality Shares ETF Trust Under Rule 57052014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14317.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14316.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 Nos. 1 and 4 Thereto, Relating to Listing and Trading of Shares of the Reality Shares DIVS Index ETF Under NYSE Arca Equities Rule 5.2(j)(3)2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14316.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14315.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Trade Nullification and Price Adjustment2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14315Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14315.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14314.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness 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 More2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14314Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14314.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14313.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Rule Language and To Permit the Exchange To Enable or Disable Trade Adjustment Functionalities Pursuant to Notice2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14313.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14312.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 971.1NY(c)(4)(D) To Add Specificity Regarding When a Customer Best Execution Auction Would Conclude Early2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14312Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14312.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14311.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14311Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14311.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/19/2014-14310.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Notification and Reporting Provisions for Exchange of Contract for Related Position Transactions and Block Trades2014-06-19T00:00:00-07:002014-06-19T00:00:00-07:002014-14310Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-19/pdf/2014-14310.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14232.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.2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14232Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14232.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14231.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 Schedule2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14231Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14231.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14204.htmlNotice - WhiteHorse Finance, Inc., et al.; Notice of Application2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14204.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14203.htmlNotice - Absolute Shares Trust, et al.; Notice of Application2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14203.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14202.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade of Shares of the First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14202.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14201.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 Add an Additional Requirement To Qualify for Step Up Tier 32014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14201.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14200.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14200.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14199.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14199Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14199.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14198.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.2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14198Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14198.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14197.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 Schedule2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14197Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14197.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/18/2014-14196.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program2014-06-18T00:00:00-07:002014-06-18T00:00:00-07:002014-14196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-18/pdf/2014-14196.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/17/2014-14101.htmlNotice - Public Availability of the Securities and Exchange Commission's FY 2013 Service Contract Inventory2014-06-17T00:00:00-07:002014-06-17T00:00:00-07:002014-14101Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-17/pdf/2014-14101.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/16/2014-14121.htmlNotice - Sunshine Act Meeting2014-06-16T00:00:00-07:002014-06-16T00:00:00-07:002014-14121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-16/pdf/2014-14121.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/16/2014-13936.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Joint Back Office Pricing2014-06-16T00:00:00-07:002014-06-16T00:00:00-07:002014-13936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-16/pdf/2014-13936.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/16/2014-13935.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Joint Back Office Pricing2014-06-16T00:00:00-07:002014-06-16T00:00:00-07:002014-13935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-16/pdf/2014-13935.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/16/2014-13934.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Related to Limiting Certain Types of Complex Orders From Legging Into the Regular Market2014-06-16T00:00:00-07:002014-06-16T00:00:00-07:002014-13934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-16/pdf/2014-13934.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/16/2014-13933.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the ICC Risk Management Framework2014-06-16T00:00:00-07:002014-06-16T00:00:00-07:002014-13933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-16/pdf/2014-13933.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/16/2014-13932.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 Global X Commodities ETF of Global X Funds2014-06-16T00:00:00-07:002014-06-16T00:00:00-07:002014-13932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-16/pdf/2014-13932.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/16/2014-13931.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-06-16T00:00:00-07:002014-06-16T00:00:00-07:002014-13931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-16/pdf/2014-13931.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/16/2014-13930.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-06-16T00:00:00-07:002014-06-16T00:00:00-07:002014-13930Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-16/pdf/2014-13930.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/13/2014-13988.htmlNotice - LifeHealthCare, Inc., Smartlinx, Inc., and Total Apparel Group, Inc.; Order of Suspension of Trading2014-06-13T00:00:00-07:002014-06-13T00:00:00-07:002014-13988Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-13/pdf/2014-13988.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/13/2014-13987.htmlNotice - The Bank Holdings, Community Valley Bancorp, Genemen, Inc., GWS Technologies, Inc., Homeland Precious Metals Corp., and NuRx Pharmaceuticals, Inc.; Order of Suspension of Trading2014-06-13T00:00:00-07:002014-06-13T00:00:00-07:002014-13987Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-13/pdf/2014-13987.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/13/2014-13823.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 1080.082014-06-13T00:00:00-07:002014-06-13T00:00:00-07:002014-13823Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-13/pdf/2014-13823.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/13/2014-13822.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating To Listing and Trading of Exchange-Traded Managed Fund Shares2014-06-13T00:00:00-07:002014-06-13T00:00:00-07:002014-13822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-13/pdf/2014-13822.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/13/2014-13821.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Reference Index Relating to the Columbia Select Large Cap Value ETF2014-06-13T00:00:00-07:002014-06-13T00:00:00-07:002014-13821Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-13/pdf/2014-13821.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/13/2014-13820.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program2014-06-13T00:00:00-07:002014-06-13T00:00:00-07:002014-13820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-13/pdf/2014-13820.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/13/2014-13819.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 3 and 5 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 3 and 5, Relating to the Listing and Trading of Shares of Reality Shares DIVS ETF Under NYSE Arca Equities Rule 8.6002014-06-13T00:00:00-07:002014-06-13T00:00:00-07:002014-13819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-13/pdf/2014-13819.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/13/2014-13818.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of a Proposed Rule Change to Amend the Competitive Liquidity Provider Program2014-06-13T00:00:00-07:002014-06-13T00:00:00-07:002014-13818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-13/pdf/2014-13818.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/13/2014-13146.htmlUnknown - Regulatory Flexibility Agenda2014-06-13T00:00:00-07:002014-06-13T00:00:00-07:002014-13146Unknownhttp://www.gpo.gov/fdsys/pkg/FR-2014-06-13/pdf/2014-13146.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/12/2014-13702.htmlNotice - Submission for OMB Review; Comment Request2014-06-12T00:00:00-07:002014-06-12T00:00:00-07:002014-13702Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-12/pdf/2014-13702.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/12/2014-13701.htmlNotice - Submission for OMB Review; Comment Request2014-06-12T00:00:00-07:002014-06-12T00:00:00-07:002014-13701Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-12/pdf/2014-13701.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/12/2014-13695.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Implement a New Scorecard Feature to the Mutual Fund Profile Service2014-06-12T00:00:00-07:002014-06-12T00:00:00-07:002014-13695Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-12/pdf/2014-13695.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/12/2014-13694.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule2014-06-12T00:00:00-07:002014-06-12T00:00:00-07:002014-13694Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-12/pdf/2014-13694.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/12/2014-13693.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Floor Booth Fees2014-06-12T00:00:00-07:002014-06-12T00:00:00-07:002014-13693Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-12/pdf/2014-13693.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13564.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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 8.6002014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13564Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13564.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13563.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.2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13563.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13562.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13562Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13562.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13561.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide for the Calculation of Initial Margin Requirements for Segregated Futures Accounts Through the Use of the Standard Portfolio Analysis of Risk Margin Calculation System2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13561Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13561.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13560.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Correct an Inadvertent Omission in a Prior Proposed Rule Change Concerning OCC's Clearing Fee Schedule2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13560.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13559.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment 1, To Amend Its Rules Related to Complex Orders2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13559.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13558.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of “Third-Party Data”2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13558.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13557.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE BBO Market Data Product Offering2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13557Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13557.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13556.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT BBO Market Data Product Offering2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13556.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13555.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Give Up of a Clearing Trading Permit Holder2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13555.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/11/2014-13554.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Create a Uniform Taxonomy for CHX Rules and To Amend Certain Cross-References2014-06-11T00:00:00-07:002014-06-11T00:00:00-07:002014-13554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-11/pdf/2014-13554.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13574.htmlNotice - In the Matter of Prospect Ventures, Inc.; Order of Suspension of Trading2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13574.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13573.htmlNotice - In the Matter of Alternative Energy Partners, Inc. and SK3 Group, Inc; Order of Suspension of Trading2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13573.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13467.htmlNotice - Proposed Collection; Comment Request2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13467Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13467.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13466.htmlNotice - Submission for OMB Review; Comment Request2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13466.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13465.htmlNotice - Submission for OMB Review; Comment Request2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13465.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13464.htmlNotice - Proposed Collection; Comment Request2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13464.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13463.htmlNotice - Proposed Collection; Comment Request2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13463.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13462.htmlNotice - Proposed Collection; Comment Request2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13462.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13461.htmlNotice - Proposed Collection; Comment Request2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13461.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13460.htmlNotice - Proposed Collection; Comment Request2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13460.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13459.htmlNotice - ValMark Advisers, Inc. and Northern Lights Variable Trust; Notice of Application2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13459Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13459.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13458.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the ARK Innovation ETF, ARK Genomic Revolution ETF, ARK Industrial Innovation ETF, and ARK Web x.0 ETF Under NYSE Arca Equities Rule 8.6002014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13458.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13457.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(d)(3) in Order To Delete Reserve Orders and References Thereto From the Rules2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13457Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13457.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13456.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Lead Market Maker Rights Fees2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13456Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13456.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13455.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Amend IM-5900-7 to, Among Other Things, Modify the Free Services Offered to Certain Newly Listing Companies2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13455Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13455.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13454.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Fees on Strategy Executions2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13454Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13454.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13453.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the Implementation of a Fee for ACATS-Related Deliveries and Receives2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13453.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13452.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13452Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13452.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13451.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Revise End-of-Day Price Discovery Policies and Procedures2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13451.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/10/2014-13450.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Government Securities Division Fee Schedule, the Mortgage-Backed Securities Division Fee Schedule for Dealers and the Mortgage-Backed Securities Division EPN Fee Schedule2014-06-10T00:00:00-07:002014-06-10T00:00:00-07:002014-13450Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-10/pdf/2014-13450.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13478.htmlNotice - In the Matter of WebXU, Inc., File No. 500-1; Order of Suspension of Trading2014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13478Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13478.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13477.htmlNotice - China Power Technology, Inc.; Order of Suspension of Trading2014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13477Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13477.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13476.htmlNotice - Zhidali Radio and Television Network, Inc.; Order of Suspension of Trading2014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13476Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13476.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13475.htmlNotice - Order of Suspension of Trading; China Digital Animation Development, Inc.2014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13475Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13475.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13474.htmlNotice - Order of Suspension of Trading; In the Matter of FLM Minerals, Inc.2014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13474.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13314.htmlNotice - Kohlberg Kravis Roberts & Co. L.P., et al.; Notice of Application2014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13314Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13314.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13313.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Eliminate a Credit for Certain Non-Floor Broker Transactions2014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13313.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13312.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Exchange Rules To Harmonize the Language With Certain Rules of the Financial Industry Regulatory Authority, Inc. (“FINRA”) and Other Exchanges2014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13312Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13312.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13311.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of First Trust Long/Short Equity ETF Under NYSE Arca Equities Rule 8.6002014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13311Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13311.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/09/2014-13310.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the AdvisorShares Athena High Dividend ETF Under NYSE Arca Equities Rule 8.6002014-06-09T00:00:00-07:002014-06-09T00:00:00-07:002014-13310Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-09/pdf/2014-13310.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/06/2014-13203.htmlNotice - Self-Regulatory Organization; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Make The Options Clearing Corporation's Existing Policy Concerning Specified Concentration Limits Related to Deposits of Certain Letters of Credit Applicable to All Letters of Credit2014-06-06T00:00:00-07:002014-06-06T00:00:00-07:002014-13203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-06/pdf/2014-13203.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/06/2014-13153.htmlNotice - MarketShares ETF Trust, et al.; Notice of Application2014-06-06T00:00:00-07:002014-06-06T00:00:00-07:002014-13153Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-06/pdf/2014-13153.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/06/2014-13152.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Regarding Investment Losses and Non-Default Losses2014-06-06T00:00:00-07:002014-06-06T00:00:00-07:002014-13152Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-06/pdf/2014-13152.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/06/2014-13108.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving 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 Feed2014-06-06T00:00:00-07:002014-06-06T00:00:00-07:002014-13108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-06/pdf/2014-13108.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/06/2014-13107.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor2014-06-06T00:00:00-07:002014-06-06T00:00:00-07:002014-13107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-06/pdf/2014-13107.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/06/2014-13105.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 515, 519 and 5292014-06-06T00:00:00-07:002014-06-06T00:00:00-07:002014-13105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-06/pdf/2014-13105.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/06/2014-13104.htmlNotice - Ivy Funds, et al.; Notice of Application2014-06-06T00:00:00-07:002014-06-06T00:00:00-07:002014-13104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-06/pdf/2014-13104.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/06/2014-13103.htmlNotice - Fidus Investment Corporation, et al.; Notice of Application2014-06-06T00:00:00-07:002014-06-06T00:00:00-07:002014-13103Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-06/pdf/2014-13103.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/06/2014-13102.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402014-06-06T00:00:00-07:002014-06-06T00:00:00-07:002014-13102Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-06/pdf/2014-13102.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/05/2014-13020.htmlNotice - BMO Funds, Inc., et al.; Notice of Application2014-06-05T00:00:00-07:002014-06-05T00:00:00-07:002014-13020Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-05/pdf/2014-13020.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/05/2014-13019.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 First Trust Low Duration Mortgage Opportunities ETF of First Trust Exchange-Traded Fund IV2014-06-05T00:00:00-07:002014-06-05T00:00:00-07:002014-13019Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-05/pdf/2014-13019.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/05/2014-13018.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Modify the Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction2014-06-05T00:00:00-07:002014-06-05T00:00:00-07:002014-13018Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-05/pdf/2014-13018.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/05/2014-13017.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Closing Rotation Procedures for S&P 500 Index Options2014-06-05T00:00:00-07:002014-06-05T00:00:00-07:002014-13017Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-05/pdf/2014-13017.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-13039.htmlNotice - Cloudeeva, Inc.; Order of Suspension of Trading2014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-13039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-13039.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-12947.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-12947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-12947.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-12946.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-12946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-12946.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-12890.htmlNotice - Prudential Investments LLC, et al.; Notice of Application2014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-12890Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-12890.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-12889.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Establish a Fee Schedule for Alternative Trading System Volume Information2014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-12889Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-12889.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-12888.htmlNotice - [Release No. 34-72277; File No. SR-CBOE-2014-047]2014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-12888Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-12888.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-12887.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program2014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-12887Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-12887.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-12886.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rule 516 To Remove the Size Restrictions on Contra-Party Participation on a Qualified Contingent Cross Order2014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-12886Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-12886.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-12885.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to IRS Coupon Blending2014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-12885Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-12885.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/04/2014-12884.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 24.202014-06-04T00:00:00-07:002014-06-04T00:00:00-07:002014-12884Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-04/pdf/2014-12884.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/03/2014-12891.htmlNotice - Sunshine Act Meeting2014-06-03T00:00:00-07:002014-06-03T00:00:00-07:002014-12891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-03/pdf/2014-12891.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/03/2014-12775.htmlNotice - Submission for OMB Review; Comment Request2014-06-03T00:00:00-07:002014-06-03T00:00:00-07:002014-12775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-03/pdf/2014-12775.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/03/2014-12774.htmlNotice - Submission for OMB Review; Comment Request2014-06-03T00:00:00-07:002014-06-03T00:00:00-07:002014-12774Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-03/pdf/2014-12774.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/03/2014-12773.htmlNotice - Submission for OMB Review; Comment Request2014-06-03T00:00:00-07:002014-06-03T00:00:00-07:002014-12773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-03/pdf/2014-12773.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/03/2014-12772.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee Into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors2014-06-03T00:00:00-07:002014-06-03T00:00:00-07:002014-12772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-03/pdf/2014-12772.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/03/2014-12771.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating To Protecting Personal Confidential Information in Documents Filed With FINRA Dispute Resolution2014-06-03T00:00:00-07:002014-06-03T00:00:00-07:002014-12771Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-03/pdf/2014-12771.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/03/2014-12770.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change To Amend the Fees Schedule2014-06-03T00:00:00-07:002014-06-03T00:00:00-07:002014-12770Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-03/pdf/2014-12770.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/03/2014-12769.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That Intraday Margin Be Collected and Margin Assets Not Be Withdrawn When a Clearing Member's Reasonably Anticipated Settlement Obligations to OCC Would Exceed the Liquidity Resources Available to OCC To Satisfy Such Settlement Obligations2014-06-03T00:00:00-07:002014-06-03T00:00:00-07:002014-12769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-03/pdf/2014-12769.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/03/2014-12768.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, To List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.6002014-06-03T00:00:00-07:002014-06-03T00:00:00-07:002014-12768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-03/pdf/2014-12768.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/02/C1-2014-12072.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities2014-06-02T00:00:00-07:002014-06-02T00:00:00-07:00C1-2014-12072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-02/pdf/C1-2014-12072.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/02/2014-12648.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 1 and No Objection to Advance Notice, as Modified by Amendment No. 1, To Enhance NSCC's Existing Parametric Value-at-Risk Margining Model2014-06-02T00:00:00-07:002014-06-02T00:00:00-07:002014-12648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-02/pdf/2014-12648.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/02/2014-12647.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether To Approve or Disapprove 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 ActiveSharesSM2014-06-02T00:00:00-07:002014-06-02T00:00:00-07:002014-12647Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-02/pdf/2014-12647.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/02/2014-12646.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Complex Orders2014-06-02T00:00:00-07:002014-06-02T00:00:00-07:002014-12646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-02/pdf/2014-12646.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/02/2014-12645.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 to Introduce a New “Retail” Modifier for Orders and to Make Related, Administrative Changes to Its Price List2014-06-02T00:00:00-07:002014-06-02T00:00:00-07:002014-12645Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-02/pdf/2014-12645.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/02/2014-12644.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 13-Equities to Introduce a New “Retail” Modifier for Orders and to Make Related, Administrative Changes to Its Price List2014-06-02T00:00:00-07:002014-06-02T00:00:00-07:002014-12644Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-02/pdf/2014-12644.pdfhttps://regulations.justia.com/regulations/fedreg/2014/06/02/2014-12643.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2014-06-02T00:00:00-07:002014-06-02T00:00:00-07:002014-12643Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-06-02/pdf/2014-12643.pdf