Securities and Exchange Commission October 14, 2014 – Federal Register Recent Federal Regulation Documents

Results 1 - 5 of 5
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Algo Test Facility
Document Number: 2014-24304
Type: Notice
Date: 2014-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24304.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs That Permit the Exchange To Have No Minimum Size Requirement for Orders Entered Into the PIP (“PIP Pilot Program”) and COPIP (“COPIP Pilot Program”) Until December 18, 2014
Document Number: 2014-24303
Type: Notice
Date: 2014-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24303.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
Document Number: 2014-24302
Type: Notice
Date: 2014-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24302.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 705 (Fidelity Bonds)
Document Number: 2014-24301
Type: Notice
Date: 2014-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24301.html
Nationally Recognized Statistical Rating Organizations; Correction
Document Number: 2014-24300
Type: Rule
Date: 2014-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is correcting a final rule that appeared in the Federal Register of September 15, 2014 (79 FR 55078). The rule applies to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (``NRSROs''), providers of third-party due diligence services for asset-backed securities, and issuers and underwriters of asset-backed securities.\1\
https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24300.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.