<![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/2014/09/02?registers=between Mon, 23 Jun 2025 09:15:40 -0700 Mon, 23 Jun 2025 09:15:40 -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/2014/09/02?registers=between Notice - In the Matter of QSGI Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20889.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20889.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20889 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20889.pdf Proposed Rule - Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule; Correction https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20731.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20731.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20731 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20731.pdf Notice - Northern Lights Fund Trust II and North Peak Asset Management LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20704.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20704.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20704 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20704.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE OpenBook, NYSE Trades, and NYSE BBO, and To Establish Fees for Non-Display Use of NYSE Order Imbalances https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20703.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20703.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20703 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20703.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Market Maker Requirements https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20702.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20702.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20702 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20702.pdf Notice - Self-Regulatory Organizations; ISE Gemini Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change on Sweep Orders https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20701.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20701.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20701 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20701.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Lead Market Maker Rules https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20700.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20700.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20700 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20700.pdf Notice - Order Granting a Limited Exemption From Rule 102(a) of Regulation M to Jones Lang LaSalle Income Property Trust Pursuant to Rule 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20699.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20699.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20699 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20699.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To (i) Delete Obsolete Rules Relating to Exchange-Listed Options Trading and Related References (NYSE Rules 700-794); (ii) Delete Obsolete Rules Related to the Defunct Exchange Stock Portfolio Service and Related References (NYSE Rules 800-817); and (iii) Amend NYSE Rules 15A and 123D To Remove Outdated References to the Terminated Intermarket Trading System Plan https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20698.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20698.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20698 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20698.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Delete Functionality Permitting Primary Only Orders and Primary Sweep Orders To Be Designated With Intermarket Sweep Order Modifiers https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20697.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20697.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20697 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20697.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 15.5 To Provide Additional Clarity and Precision, Correct Certain Citations, and Align the Rule With the Rules of Other Exchanges With Respect to the Original and Continued Listing Standards for Issuers' Compensation Committees https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20696.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20696.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20696 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20696.pdf