<![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/2014/11/03?registers=between Thu, 17 Jul 2025 08:58:36 -0700 Thu, 17 Jul 2025 08:58:36 -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/2014/11/03?registers=between Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16(f)(v) To Provide That Proactive if Locked Modifiers Will Be Ignored for Short Sale Orders During a Short Sale Period https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26013.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26013.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26013 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26013.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policy https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26012.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26012.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26012 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26012.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise ICC End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26011.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26011.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26011 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26011.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Functionality of Public Automated Routing System https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26010.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26010.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26010 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26010.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Permit the Executive Chairman, the President or a Delegate of Such Officer To Approve Requests by a Hedge Clearing Member To Become a Market Loan Clearing Member https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26009.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26009.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26009 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26009.pdf Notice - Joint Industry Plan; Order Approving 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/2014/11/03/2014-26008.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26008.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26008 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26008.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26007.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26007.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26007 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26007.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Changes to Settlement Procedures Regarding Seven CME Cleared OTC FX Spot, Forward and Swap Contracts https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26006.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26006.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26006 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26006.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Risk Management Framework https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26005.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26005.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26005 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26005.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change in Connection With the Modifications To Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26004.html https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26004.html Mon, 03 Nov 2014 00:00:00 -0800 2014-26004 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26004.pdf