<![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/2014/10/06?registers=between Sat, 12 Jul 2025 19:09:44 -0700 Sat, 12 Jul 2025 19:09:44 -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/2014/10/06?registers=between Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23708.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23708.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23708 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23708.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23707.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23707.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23707 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23707.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23706.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23706.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23706 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23706.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt and Amend Fees for the CHX Routing Services https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23705.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23705.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23705 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23705.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.1A To Codify the Terms Complex BBO and Complex NBBO and To Amend Rule 6.62(y) To Revise the Definition of a PNP Plus Order https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23704.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23704.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23704 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23704.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Provide a New Optional Functionality to Minimum Quantity Orders https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23703.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23703.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23703 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23703.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102.01C of the NYSE Listed Company Manual To Adopt a New Global Market Capitalization Test Initial Listing Standard for Operating Companies and To Eliminate All of the Current Initial Listing Standards for Operating Companies Except the Earnings Test https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23702.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23702.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23702 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23702.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Amending Its Information Barrier Rules https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23701.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23701.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23701 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23701.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Acceptance of a New Series of Credit Default Swap Index Product https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23700.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23700.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23700 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23700.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Settlement Procedures Regarding a CME Cleared OTC FX Spot, Forward and Swap Contract https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23699.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23699.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23699 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23699.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal To Enter a New Credit Facility Agreement https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23698.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23698.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23698 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23698.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 (Certain Types of Orders Defined) by Deleting WAIT Orders From Its Rules https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23697.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23697.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23697 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23697.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.3NY (Orders Defined) To Delete WAIT Orders From Its Rules https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23696.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23696.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23696 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23696.pdf Notice - Joint Industry Plan; Notice of Filing of Amendment No. 32 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Arca, Inc. and NYSE MKT, LLC https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23655.html https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23655.html Mon, 06 Oct 2014 00:00:00 -0700 2014-23655 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23655.pdf