<![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/2014/07/28?registers=between Sun, 22 Dec 2024 13:19:50 -0800 Sun, 22 Dec 2024 13:19:50 -0800 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/2014/07/28?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17810.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17810.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17810 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17810.pdf Notice - TrimTabs Asset Management, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17655.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17655.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17655 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17655.pdf Notice - Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright International Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17641.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17641.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17641 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17641.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of “Third-Party Data” https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17640.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17640.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17640 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17640.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of InfraCap Active MLP ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17639.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17639.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17639 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17639.pdf Notice - Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17617.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17617.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17617 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17617.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17614.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17614.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17614 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17614.pdf