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https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2014/07/09?registers=between
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Justia Regulations Tracker
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<![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/2014/07/09?registers=between
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Notice - Sunshine Act Meetings
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16107.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16107.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-16107
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16107.pdf
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Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving 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 Rules
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16048.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16048.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-16048
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16048.pdf
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Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving 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 Rules
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16047.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16047.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-16047
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16047.pdf
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Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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, To List and Trade Shares of the PIMCO Foreign Bond Exchange-Traded Fund (U.S. Dollar-Hedged), PIMCO Foreign Bond Exchange-Traded Fund (Unhedged), PIMCO Global Advantage Bond Exchange-Traded Fund, and PIMCO International Advantage Bond Exchange-Traded Fund
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16046.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16046.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-16046
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16046.pdf
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Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Settlement Procedures Regarding Five CME Cleared OTC FX Spot, Forward and Swap Contracts
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16045.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16045.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-16045
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16045.pdf
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Notice - Proposed Collection; Comment Request
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16040.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16040.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-16040
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16040.pdf
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Notice - Submission for OMB Review; Comment Request
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16039.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16039.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-16039
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16039.pdf
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Notice - BMO Funds, Inc., et al.; Notice of Application
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15971.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15971.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15971
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15971.pdf
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Notice - Janus Investment Fund, et al.; Notice of Application
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15970.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15970.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15970
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15970.pdf
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Notice - KraneShares Trust and Krane Funds Advisors, LLC; Notice of Application
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15969.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15969.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15969
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15969.pdf
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Notice - Proposed Collection; Comment Request
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15968.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15968.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15968
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15968.pdf
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Notice - Proposed Collection; Comment Request
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15967.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15967.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15967
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15967.pdf
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Notice - Proposed Collection; Comment Request
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15966.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15966.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15966
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15966.pdf
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Notice - Proposed Collection; Comment Request
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15965.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15965.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15965
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15965.pdf
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Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of WBI SMID Tactical Growth Shares; WBI SMID Tactical Value Shares; WBI SMID Tactical Yield Shares; WBI SMID Tactical Select Shares; WBI Large Cap Tactical Growth Shares; WBI Large Cap Tactical Value Shares; WBI Large Cap Tactical Yield Shares; WBI Large Cap Tactical Select Shares; WBI Tactical Income Shares; and WBI Tactical High Income Shares under NYSE Arca Equities Rule 8.600
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15964.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15964.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15964
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15964.pdf
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Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Fee Schedule Relating to Manual Executions by Firms and Broker Dealers
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15963.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15963.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15963
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15963.pdf
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Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of the Shares of iShares 2020 S&P AMT-Free Municipal Series Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15962.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15962.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15962
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15962.pdf
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Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15961.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15961.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15961
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15961.pdf
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Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing of Proposed Rule Change Relating to the NFA Interpretive Notice Entitled “NFA Compliance Rule 2-9: Enhanced Supervisory Requirements”
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15960.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15960.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15960
Notice
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15960.pdf
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Rule - Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15337.html
https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15337.html
Wed, 09 Jul 2014 00:00:00 -0700
2014-15337
Rule
http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15337.pdf