<![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/2014/11/24?registers=between Mon, 23 Jun 2025 08:41:41 -0700 Mon, 23 Jun 2025 08:41:41 -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/2014/11/24?registers=between Notice - Privacy Act of 1974: Systems of Records https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27745.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27745.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27745 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27745.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 DIVS Index ETF Under Nasdaq Rule 5705 https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27711.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27711.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27711 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27711.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27710.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27710.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27710 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27710.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27709.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27709.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27709 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27709.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Gross Income Assessment Pricing Structure https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27708.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27708.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27708 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27708.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 4 Thereto, Relating to Listing and Trading of Shares of the Reality Shares DIVS Index ETF Under NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27707.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27707.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27707 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27707.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Professional Orders https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27706.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27706.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27706 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27706.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Withdrawal of Proposed Rule Change Related to Enhancements to Risk Model for Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27705.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27705.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27705 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27705.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Withdrawal of Proposed Rule Change Related to Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27704.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27704.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27704 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27704.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program Through June 30, 2015 https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27703.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27703.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27703 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27703.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program through June 30, 2015 https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27702.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27702.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27702 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27702.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27701.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27701.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27701 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27701.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27700.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27700.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27700 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27700.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Provide a New Optional Functionality to Minimum Quantity Orders https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27699.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27699.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27699 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27699.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT LLC Equities Proprietary Market Data Fee Schedule (“Market Data Fee Schedule”) Regarding Non-Display Use Fees https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27698.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27698.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27698 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27698.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Proprietary Market Data Fee Schedule (“Market Data Fee Schedule”) Regarding Non-Display Use Fees https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27697.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27697.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27697 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27697.pdf Notice - TPG Specialty Lending, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27696.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27696.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27696 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27696.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27695.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27695.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27695 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27695.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27694.html https://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27694.html Mon, 24 Nov 2014 00:00:00 -0800 2014-27694 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27694.pdf