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/2014/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-23T08:29:36-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/09/30/C1-2014-21375.htmlRule - Asset-Backed Securities Disclosure and Registration2014-09-30T00:00:00-07:002014-09-30T00:00:00-07:00C1-2014-21375Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/C1-2014-21375.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23254.htmlNotice - Proposed Collection; Comment Request2014-09-30T00:00:00-07:002014-09-30T00:00:00-07:002014-23254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23254.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23227.htmlNotice - Great-West Funds, Inc., et al.; Notice of Application2014-09-30T00:00:00-07:002014-09-30T00:00:00-07:002014-23227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23227.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23226.htmlNotice - JNL Series Trust, et al.; Notice of Application2014-09-30T00:00:00-07:002014-09-30T00:00:00-07:002014-23226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23226.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23225.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Amend the Functionality Relating To Post No Preference Blind Orders To Display Such Orders One Minimum Price Variation Below the Best Protected Offer for Bids and Above the Best Protected Bid for Offers2014-09-30T00:00:00-07:002014-09-30T00:00:00-07:002014-23225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23225.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23224.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rule 21.7 of BATS Exchange, Inc.2014-09-30T00:00:00-07:002014-09-30T00:00:00-07:002014-23224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23224.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23223.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt Rule 14.11(k) To Permit BATS Exchange, Inc. To List Managed Portfolio Shares and To List and Trade Shares of Certain Funds of the Spruce ETF Trust2014-09-30T00:00:00-07:002014-09-30T00:00:00-07:002014-23223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23223.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23247.htmlNotice - In the Matter of All Grade Mining, Inc., Bluforest, Inc., DHS Holding Co., Essential Innovations, Technology Corp., Global Green Inc., Inova Technology, Inc., mLight Tech, Inc., Solar Thin Films, Inc., Xumanii International, Holdings Corp.; Order of Suspension of Trading2014-09-29T00:00:00-07:002014-09-29T00:00:00-07:002014-23247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23247.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23052.htmlNotice - Self-Regulatory Organizations; ISE Gemini Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of Its Limited Liability Company Agreement (“LLC Agreement”)2014-09-29T00:00:00-07:002014-09-29T00:00:00-07:002014-23052Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23052.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23051.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.2014-09-29T00:00:00-07:002014-09-29T00:00:00-07:002014-23051Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23051.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23050.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.2014-09-29T00:00:00-07:002014-09-29T00:00:00-07:002014-23050Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23050.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23049.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.2014-09-29T00:00:00-07:002014-09-29T00:00:00-07:002014-23049Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23049.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23048.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Supplementary Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)2014-09-29T00:00:00-07:002014-09-29T00:00:00-07:002014-23048Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23048.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23047.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change to Update OCX's Rulebook To Remove References To the OCX.BETS and CBOEdirect Trading Platforms2014-09-29T00:00:00-07:002014-09-29T00:00:00-07:002014-23047Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23047.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22996.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Y-Exchange, Inc.2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22996Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22996.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22995.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Exchange, Inc.2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22995.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22994.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program Until December 31, 20142014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22994.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22993.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Increase in the Number of Securities Held by the Peritus High Yield ETF2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22993.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22992.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 31, 20142014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22992.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22991.htmlNotice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing Amendment No. 1 to Advance Notice Relating to the Government Securities Division's Inclusion of GCF Repo® Positions in GSD's Intraday Participant Clearing Fund Requirement Calculation, and GSD's Hourly Internal Surveillance Cycles2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22991.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22918.htmlNotice - Submission for OMB Review; Comment Request2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22918Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22918.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22917.htmlNotice - Submission for OMB Review; Comment Request2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22917Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22917.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22916.htmlNotice - Proposed Collection; Comment Request2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22916.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22915.htmlNotice - Proposed Collection; Comment Request2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22915.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22914.htmlNotice - Proposed Collection; Comment Request2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22914.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22913.htmlNotice - Submission for OMB Review; Comment Request2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22913.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22912.htmlNotice - Submission for OMB Review; Comment Request2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22912Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22912.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22911.htmlNotice - Proposed Collection; Comment Request2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22911.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22910.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Validea Market Legends ETF of the ETF Series Solutions ETF Trust2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22910Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22910.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22909.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 4042014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22909Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22909.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22908.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Y-Exchange, Inc.2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22908.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22907.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 to Rule 341 To Specify the Registration and Examination Requirements for Certain Persons Engaged in Supervisory Activities2014-09-26T00:00:00-07:002014-09-26T00:00:00-07:002014-22907Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22907.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22792.htmlNotice - Monroe Capital Corporation, et al.; Notice of Application2014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22792.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22791.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the 2014 ISDA Credit Derivatives Definitions2014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22791.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22790.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.03, 902.04, 902.05, 902.06 and 902.08 of the Listed Company Manual To Increase Certain of the Fees Set Forth Therein and To Delete Obsolete Rule Text2014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22790.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22789.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Add a New Complex Order Process Called Legging Orders2014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22789Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22789.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22788.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 2.100(a) To Correct Potential Ambiguities Introduced in Prior Rule Change Filings Submitted in 2013 and 20142014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22788Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22788.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22787.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the CHX Routing Services2014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22787.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22786.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Greenhaven Coal Fund Under NYSE Arca Equities Rule 8.200, Commentary .022014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22786Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22786.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22785.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change Related to Market Maker Risk Parameters2014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22785.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22784.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Related to Market Maker Risk Parameters2014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22784.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22783.htmlNotice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.2014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22783.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22782.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.2014-09-25T00:00:00-07:002014-09-25T00:00:00-07:002014-22782Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22782.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22673.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options To Increase the Likelihood That Erroneous Trades Will Be Identified and Voided2014-09-24T00:00:00-07:002014-09-24T00:00:00-07:002014-22673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22673.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22672.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I2014-09-24T00:00:00-07:002014-09-24T00:00:00-07:002014-22672Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22672.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22671.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF Under NYSE Arca Equities Rule 8.6002014-09-24T00:00:00-07:002014-09-24T00:00:00-07:002014-22671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22671.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22670.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III2014-09-24T00:00:00-07:002014-09-24T00:00:00-07:002014-22670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22670.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22669.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed2014-09-24T00:00:00-07:002014-09-24T00:00:00-07:002014-22669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22669.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/24/2014-21375.htmlRule - Asset-Backed Securities Disclosure and Registration2014-09-24T00:00:00-07:002014-09-24T00:00:00-07:002014-21375Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-21375.pdfhttps://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22551.htmlNotice - Investor Advisory Committee Meeting2014-09-23T00:00:00-07:002014-09-23T00:00:00-07:002014-22551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22551.pdf