<![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/2014/10/21?registers=between Tue, 15 Jul 2025 05:43:24 -0700 Tue, 15 Jul 2025 05:43:24 -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/2014/10/21?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-25084.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-25084.html Tue, 21 Oct 2014 00:00:00 -0700 2014-25084 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-25084.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Margin Treatment of Over-the-Counter Options Contracts Cleared by The Options Clearing Corporation https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24957.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24957.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24957 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24957.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24955.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24955.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24955 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24955.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24954.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24954.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24954 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24954.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 970NY and Rule 970.1NY https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24953.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24953.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24953 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24953.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc. To Add Price Adjust Functionality https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24952.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24952.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24952 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24952.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Its Collateral Acceptance Practices for Its Base Guaranty Fund https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24951.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24951.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24951 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24951.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of Eight PIMCO Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24950.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24950.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24950 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24950.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc. To Add Price Adjust Functionality https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24949.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24949.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24949 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24949.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 6.86 https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24948.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24948.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24948 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24948.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24947.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24947.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24947 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24947.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 52 (Mutual Fund Services) and Addendum A (Fee Structure) With Respect to the DTCC Payment aXis Service, and To Make Certain Technical Changes https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24946.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24946.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24946 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24946.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend Certain of Its Rules To Remove and Replace Obsolete References to Fixed Return Options With the Updated References to Binary Return Derivatives Contracts https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24945.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24945.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24945 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24945.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16 of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24944.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24944.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24944 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24944.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16 of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24943.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24943.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24943 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24943.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Order Routing Subsidy Program and the Complex Order Routing Subsidy Program https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24942.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24942.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24942 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24942.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 To Specify That Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information Is Disseminated When an Opening is Delayed https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24941.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24941.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24941 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24941.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15-Equities To Specify That Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information is Disseminated When an Opening Is Delayed https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24940.html https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24940.html Tue, 21 Oct 2014 00:00:00 -0700 2014-24940 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24940.pdf