<![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/2014/09/09?registers=between Thu, 23 May 2024 15:19:33 -0700 Thu, 23 May 2024 15:19:33 -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/2014/09/09?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Establish a Billing Practice With Respect to Billing Disputes https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21391.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21391.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21391 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21391.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and, through NYSE Amex Options LLC Amending the NYSE Amex Options Fee Schedule To Establish Billing Practices with Respect to Billing Disputes https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21390.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21390.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21390 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21390.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and, Through Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services, To Establish a Billing Practice With Respect to Billing Disputes https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21389.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21389.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21389 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21389.pdf Notice - Garrison Capital, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21381.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21381.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21381 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21381.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21366.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21366.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21366 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21366.pdf Notice - Eagle Capital Appreciation Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21365.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21365.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21365 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21365.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Trade Nullification and Price Adjustment https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21364.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21364.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21364 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21364.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Information Related to Aggregation of Activity of Affiliates https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21363.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21363.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21363 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21363.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21362.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21362.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21362 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21362.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21361.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21361.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21361 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21361.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21360.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21360.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21360 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21360.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21359.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21359.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21359 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21359.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21358.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21358.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21358 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21358.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Operation of the NYSE Arca ETP Incentive Program, Currently Scheduled To Expire on September 3, 2014, for an Additional Year https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21357.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21357.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21357 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21357.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Proposed Changes to NASDAQ Rule 4120(c) To Modify the Parameters for Releasing Securities for Trading Upon the Termination of a Trading Halt in a Security That is the Subject of an Initial Public Offering https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21356.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21356.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21356 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21356.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Increase Certain Fees for Executions at the Close; Simplify the “Tier Adding Credits” for Non-Floor Brokers and Increase the Credit for One Tier; Decrease the Fee and Increase the Credit for Midpoint Passive Liquidity Orders; Eliminate the Transaction Rate for Floor Broker Volume That “Steps Up” Over a Baseline Month and Increase a Related Fee for Floor Broker Transactions; Eliminate a Volume Tier and Decrease a Credit Related to Executions of Orders Sent to the Floor Broker That Add Liquidity on the Exchange; Increase a Volume Requirement and Corresponding Credit for Supplemental Liquidity Providers When Adding Liquidity in Assigned Securities; and Adjust the Pricing Related to the Retail Liquidity Program Under Rule 107C https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21355.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21355.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21355 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21355.pdf