Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2014/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-01T09:22:50-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28084.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rules 311 and 313 To Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement That a Member Corporation Be Created or Organized, and Maintain Its Principal Place of Business, in the United States; and Make Additional Related Amendments To Update Its Membership Rules2014-11-28T00:00:00-08:002014-11-28T00:00:00-08:002014-28084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28084.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28083.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rules 311-Equities and 313-Equities To Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement That a Member Corporation Be Created or Organized, and Maintain Its Principal Place of Business, in the United States; and Make Additional Related Amendments To Update Its Membership Rules2014-11-28T00:00:00-08:002014-11-28T00:00:00-08:002014-28083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28083.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28082.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 902.1NY To Authorize the Exchange To Share Any User-Designated Risk Settings in Exchange Systems With the Clearing Member That Clears Transactions on Behalf of the User2014-11-28T00:00:00-08:002014-11-28T00:00:00-08:002014-28082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28082.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28080.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change to Finance Procedures2014-11-28T00:00:00-08:002014-11-28T00:00:00-08:002014-28080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28080.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28079.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Related to ICC's Use of House Initial Margin as an Internal Liquidity Resource2014-11-28T00:00:00-08:002014-11-28T00:00:00-08:002014-28079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28079.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28078.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.1A To Adopt a Definition of “Professional Customer” on the Exchange2014-11-28T00:00:00-08:002014-11-28T00:00:00-08:002014-28078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28078.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-28081.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Rule 6.2A To Authorize the Exchange To Share Any User-Designated Risk Settings in Exchange Systems With the Clearing Member That Clears Transactions on Behalf of the User2014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-28081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-28081.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-28026.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Interest Reports2014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-28026Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-28026.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27982.htmlNotice - Lattice Strategies, LLC, et al.; Notice of Application2014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-27982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27982.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27981.htmlNotice - Advanced Series Trust, et al.; Notice of Application2014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-27981Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27981.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27980.htmlNotice - BlackRock, Inc., et al.; Notice of Application2014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-27980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27980.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27979.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Rule 7018(a) With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share2014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-27979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27979.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27978.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Exchange's Pricing Schedule Under Section VIII With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share2014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-27978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27978.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27977.htmlNotice - 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 the iShares Interest Rate Hedged 0-5 Year High Yield Bond ETF, iShares Interest Rate Hedged 10+ Year Credit Bond ETF, and the iShares Interest Rate Hedged Emerging Markets Bond ETF Under NYSE Arca Equities Rule 8.6002014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-27977Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27977.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27976.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting a Change in The Investment Objective of the Treesdale Rising Rates ETF and Change in Its Creation and Redemption Procedures2014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-27976Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27976.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27975.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the Bylaws of Its Wholly-Owned Subsidiary NYSE Regulation, Inc. To Provide That Non-Affiliated Directors Would Not Be Removed for Cause if They Are Acting in Good Faith in Exercising Their Responsibilities as Directors Related to NYSE Regulation's Functions and Responsibilities Delegated to It Under the Delegation Agreement Between the Exchange, NYSE Regulation and NYSE Market, Inc.2014-11-26T00:00:00-08:002014-11-26T00:00:00-08:002014-27975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27975.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27881.htmlNotice - In the Matter of Bravo Enterprises Ltd.; Immunotech Laboratories, Inc.; Myriad Interactive Media, Inc.; Wholehealth Products, Inc.; Order of Suspension of Trading2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27881.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27879.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an All-Inclusive Annual Listing Fee and Modify Certain Other Listing Fees2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27879.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27878.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Miami International Securities Exchange, LLC2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27878.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27846.htmlNotice - Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27846Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27846.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27845.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27845Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27845.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27844.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Rule 7018(a) with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27844Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27844.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27843.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to ICE Clear Europe Board Risk Committee2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27843.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27842.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either “Mandatory Purchaser Participants” or “Voluntary Purchaser Participants”2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27842Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27842.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27841.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either “Mandatory Purchaser Participants” or “Voluntary Purchaser Participants”2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27841.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27840.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either “Mandatory Purchaser Participants” or “Voluntary Purchaser Participants” and Registered Investment Companies Shall Be Considered “Voluntary Purchaser Participants”2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27840Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27840.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27839.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Concerning Supervision To Harmonize the Rules With Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes2014-11-25T00:00:00-08:002014-11-25T00:00:00-08:002014-27839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27839.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27745.htmlNotice - Privacy Act of 1974: Systems of Records2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27745.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27711.htmlNotice - 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 57052014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27711Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27711.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27710.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27710Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27710.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27709.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27709Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27709.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27708.htmlNotice - 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 Structure2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27708Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27708.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27707.htmlNotice - 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)2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27707Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27707.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27706.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Professional Orders2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27706Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27706.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27705.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Withdrawal of Proposed Rule Change Related to Enhancements to Risk Model for Credit Default Swaps2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27705Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27705.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27704.htmlNotice - 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 Markit2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27704.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27703.htmlNotice - 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, 20152014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27703Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27703.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27702.htmlNotice - 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, 20152014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27702Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27702.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27701.htmlNotice - 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)2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27701Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27701.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27700.htmlNotice - 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 Rulebook2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27700Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27700.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27699.htmlNotice - 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 Orders2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27699Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27699.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27698.htmlNotice - 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 Fees2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27698Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27698.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27697.htmlNotice - 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 Fees2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27697Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27697.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27696.htmlNotice - TPG Specialty Lending, Inc., et al.; Notice of Application2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27696Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27696.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27695.htmlNotice - Proposed Collection; Comment Request2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27695Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27695.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/24/2014-27694.htmlNotice - Submission for OMB Review; Comment Request2014-11-24T00:00:00-08:002014-11-24T00:00:00-08:002014-27694Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-24/pdf/2014-27694.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27800.htmlNotice - Sunshine Act Meeting2014-11-21T00:00:00-08:002014-11-21T00:00:00-08:002014-27800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27800.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27618.htmlRule - Staff Accounting Bulletin No. 1152014-11-21T00:00:00-08:002014-11-21T00:00:00-08:002014-27618Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27618.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27572.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Decision Not To Clear Security-Based Swaps2014-11-21T00:00:00-08:002014-11-21T00:00:00-08:002014-27572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27572.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27571.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Its Information Barrier Rules2014-11-21T00:00:00-08:002014-11-21T00:00:00-08:002014-27571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27571.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27570.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Use of Derivative Instruments by the First Trust Preferred Securities and Income ETF2014-11-21T00:00:00-08:002014-11-21T00:00:00-08:002014-27570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27570.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27456.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change Relating to Listing and Trading Shares of the Sit Rising Rate Fund Under NYSE Arca Equities Rule 8.2002014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27456Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27456.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27453.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Finance Procedures2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27453.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27452.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the Acceptance of USD Malaysian Palm Olein Calendar (Cleared Only) Contracts for Clearing2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27452Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27452.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27451.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27451.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27450.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27450Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27450.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27448.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Expand the Trading Hours for Bilateral Block Trades and Bilateral EFP Trades2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27448Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27448.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27447.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of Shares of the PIMCO Income Exchange-Traded Fund Under NYSE Arca Equities Rule 8.6002014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27447.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27446.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Establish a New Market Data Product Called the BATS One Feed2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27446.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27445.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Establish a New Market Data Product Called the BATS One Feed2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27445Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27445.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27443.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Establish a New Market Data Product Called the BATS One Feed2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27443.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27442.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Establish a New Market Data Product Called the BATS One Feed2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27442Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27442.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27441.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 13-Equities and Related Rules Governing Order Types and Modifiers To Clarify the Nature of Order Types2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27441.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27285.htmlProposed Rule - Forward Contracts With Embedded Volumetric Optionality2014-11-20T00:00:00-08:002014-11-20T00:00:00-08:002014-27285Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27285.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27471.htmlNotice - In the Matter of YesDTC Holdings, Inc.; Order of Suspension of Trading2014-11-19T00:00:00-08:002014-11-19T00:00:00-08:002014-27471Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27471.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27314.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for the NYSE ArcaBook for Arca Options Complex Feed and Changing the NYSE Arca Options Proprietary Market Data Fee Schedule (“Market Data Fee Schedule”) Regarding Non-Display Use Fees2014-11-19T00:00:00-08:002014-11-19T00:00:00-08:002014-27314Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27314.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27313.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List for Certain Executions at the Opening2014-11-19T00:00:00-08:002014-11-19T00:00:00-08:002014-27313Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27313.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27312.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend EDGA Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions2014-11-19T00:00:00-08:002014-11-19T00:00:00-08:002014-27312Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27312.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27311.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Exchange Rule 515A2014-11-19T00:00:00-08:002014-11-19T00:00:00-08:002014-27311Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27311.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27310.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Fees for the NYSE ArcaBook for Amex Options Complex Feed and a Change to the NYSE Amex Options Proprietary Market Data Fee Schedule (“Market Data Fee Schedule”) Regarding Non-Display Use Fees2014-11-19T00:00:00-08:002014-11-19T00:00:00-08:002014-27310Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27310.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27309.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation of the New Options Floor Broker Management System Until November 3, 20152014-11-19T00:00:00-08:002014-11-19T00:00:00-08:002014-27309Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27309.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27308.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Add a Service Fee for Certain Post-Trade Adjustments Performed by the Exchange To Be Effective December 1, 20142014-11-19T00:00:00-08:002014-11-19T00:00:00-08:002014-27308Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27308.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27355.htmlNotice - Sunshine Act Meeting2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27355.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27316.htmlNotice - Sunshine Act Meeting2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27316.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27212.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PIXL Executions in SPY and PIXL Pricing2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27212.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27211.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of an Emergency Change to OCC's Procedures To Resize the Clearing Fund in Response to Market Conditions2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27211.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27195.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Notice of Filing of Proposed Rule Change to Concerning Updates to Clearing Member Documents2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27195Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27195.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27191.htmlNotice - Proposed Collection; Comment Request2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27191.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27190.htmlNotice - Submission for OMB Review; Comment Request2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27190.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27189.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Amend NASDAQ Rule 7015(d) To Include the IPO Indicator as a New Enhancement to the NASDAQ Workstation2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27189.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27187.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27187.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27186.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27186.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27185.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Certain Order Types, Modifiers and Related Functionality2014-11-18T00:00:00-08:002014-11-18T00:00:00-08:002014-27185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27185.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/17/2014-27240.htmlNotice - Sunshine Act Meeting2014-11-17T00:00:00-08:002014-11-17T00:00:00-08:002014-27240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-17/pdf/2014-27240.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/17/2014-27065.htmlNotice - Self-Regulatory Organizations; BATS Exchange Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Modifying Rule 21.7 of BATS Exchange, Inc.2014-11-17T00:00:00-08:002014-11-17T00:00:00-08:002014-27065Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-17/pdf/2014-27065.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/17/2014-27064.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance of New Energy Futures Contracts2014-11-17T00:00:00-08:002014-11-17T00:00:00-08:002014-27064Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-17/pdf/2014-27064.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26951.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.2014-11-14T00:00:00-08:002014-11-14T00:00:00-08:002014-26951Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26951.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26950.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.2014-11-14T00:00:00-08:002014-11-14T00:00:00-08:002014-26950Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26950.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26949.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Exchange-Traded Managed Fund Shares2014-11-14T00:00:00-08:002014-11-14T00:00:00-08:002014-26949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26949.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26948.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Proposing To List and Trade Shares of the Greenhaven Coal Fund Under NYSE Arca Equities Rule 8.200, Commentary .022014-11-14T00:00:00-08:002014-11-14T00:00:00-08:002014-26948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26948.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26947.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Disapproving a Proposed Rule Change To Adopt Rule 14.11(k) to List Managed Portfolio Shares and to List and Trade Shares of Certain Funds of the Spruce ETF Trust2014-11-14T00:00:00-08:002014-11-14T00:00:00-08:002014-26947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26947.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26946.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing2014-11-14T00:00:00-08:002014-11-14T00:00:00-08:002014-26946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26946.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26945.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Qualified Contingent Cross (“QCC”) Transactions Fees, Effective November 1, 20142014-11-14T00:00:00-08:002014-11-14T00:00:00-08:002014-26945Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26945.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26944.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the PIMCO Low Duration Investment Grade Corporate Bond Active Exchange-Traded Fund Under NYSE Arca Equities Rule 8.6002014-11-14T00:00:00-08:002014-11-14T00:00:00-08:002014-26944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26944.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26959.htmlNotice - Order of Suspension of Trading; In the Matter of Kolasco Corp.2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26959Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26959.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26843.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Add a Service Fee for Certain Post Trade Adjustments Performed by the Exchange To Be Effective December 1, 20142014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26843.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26842.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.60 To Enhance the Functionality of the Trade Collar Protection Mechanism2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26842Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26842.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26841.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 967NY To Enhance the Functionality of the Trade Collar Protection Mechanism2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26841.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26840.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26840Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26840.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26817.htmlNotice - Eaton Vance Management, et al.; Notice of Application2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26817.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26816.htmlNotice - AllianceBernstein Cap Fund, Inc., et al.; Notice of Application2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26816.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26815.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Concerning Supervision To Harmonize the Rules With Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26815.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26814.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish the NYSE Best Quote & Trades Data Feed2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26814Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26814.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26813.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of “Third-Party Data”2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26813Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26813.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26812.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Changes To Establish a New Market Data Product Called the BATS One Feed2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26812Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26812.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26811.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26811Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26811.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26810.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Two Typographical Errors in Rule 33152014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26810Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26810.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26809.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add a New Complex Order Process Called Legging Orders2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26809Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26809.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26808.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancel-Replacement Orders and Routing2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26808.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26807.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancel-Replacement and Route Timer2014-11-13T00:00:00-08:002014-11-13T00:00:00-08:002014-26807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26807.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26818.htmlNotice - Sunshine Act Meeting2014-11-12T00:00:00-08:002014-11-12T00:00:00-08:002014-26818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26818.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26693.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share and the Excess Order Fee2014-11-12T00:00:00-08:002014-11-12T00:00:00-08:002014-26693Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26693.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26692.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Add Rules Related to the Clearing of Standard Western European Sovereign CDS Contracts2014-11-12T00:00:00-08:002014-11-12T00:00:00-08:002014-26692Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26692.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26691.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction Involving Its Indirect Parent2014-11-12T00:00:00-08:002014-11-12T00:00:00-08:002014-26691Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26691.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26690.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction Involving Its Indirect Parent2014-11-12T00:00:00-08:002014-11-12T00:00:00-08:002014-26690Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26690.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26689.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend NYSE Arca Equities Rule 7.44(j) To Delete Reference to the Exchange's Proprietary Data Feed When Disseminating the Retail Liquidity Identifier2014-11-12T00:00:00-08:002014-11-12T00:00:00-08:002014-26689Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26689.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26688.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Proprietary Market Data Fee Schedule Regarding Non-Display Use Fees2014-11-12T00:00:00-08:002014-11-12T00:00:00-08:002014-26688Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26688.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26687.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the NYSE Proprietary Market Data Fee Schedule To Reflect the Offering of the NYSE Bonds Market Data Products2014-11-12T00:00:00-08:002014-11-12T00:00:00-08:002014-26687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26687.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26686.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; NASDAQ OMX BX, Inc.; the NASDAQ Stock Market LLC; NASDAQ OMX PHLX LLC; Stock Clearing Corporation of Philadelphia; Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.2014-11-12T00:00:00-08:002014-11-12T00:00:00-08:002014-26686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26686.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/10/2014-26587.htmlNotice - [Investment Company Act Release No. 31328; File No. 812-14329] HEADAmerican Century Capital Portfolios, Inc. and American Century Investment Management, Inc.; Notice of Application2014-11-10T00:00:00-08:002014-11-10T00:00:00-08:002014-26587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-10/pdf/2014-26587.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/10/2014-26586.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF Under NYSE Arca Equities Rule 8.6002014-11-10T00:00:00-08:002014-11-10T00:00:00-08:002014-26586Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-10/pdf/2014-26586.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/10/2014-26504.htmlRule - Asset-Backed Securities Disclosure and Registration; Correction2014-11-10T00:00:00-08:002014-11-10T00:00:00-08:002014-26504Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-10/pdf/2014-26504.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26463.htmlNotice - Joint Industry Plan; BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.; Notice of Filing of Proposed National Market System Plan To Implement a Tick Size Pilot Program on a One-Year Pilot Basis2014-11-07T00:00:00-08:002014-11-07T00:00:00-08:002014-26463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-07/pdf/2014-26463.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26462.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402014-11-07T00:00:00-08:002014-11-07T00:00:00-08:002014-26462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-07/pdf/2014-26462.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26461.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Guggenheim Enhanced Short Duration ETF2014-11-07T00:00:00-08:002014-11-07T00:00:00-08:002014-26461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-07/pdf/2014-26461.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26460.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Provide That the Options Clearing Corporation's President Will Be Its Chief Operating Officer, and That the President Will Not Be a Management Director2014-11-07T00:00:00-08:002014-11-07T00:00:00-08:002014-26460Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-07/pdf/2014-26460.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26349.htmlNotice - Self-Regulatory Organizations: NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Modify the Fees Related to the Use of Ports That Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes2014-11-06T00:00:00-08:002014-11-06T00:00:00-08:002014-26349Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26349.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26348.htmlNotice - Self-Regulatory Organizations: NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Modify the Fees Related to the Use of Ports That Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes2014-11-06T00:00:00-08:002014-11-06T00:00:00-08:002014-26348Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26348.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26346.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Automatic Order Handling Process in No-Bid Series2014-11-06T00:00:00-08:002014-11-06T00:00:00-08:002014-26346Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26346.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26345.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Better Manage Risks Concentration and Other Risks Associated With Accepting Deposits of Common Stocks for Margin Purposes2014-11-06T00:00:00-08:002014-11-06T00:00:00-08:002014-26345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26345.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26344.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing to Better Manage Risks Concentration and Other Risks Associated With Accepting Deposits of Common Stocks for Margin Purposes2014-11-06T00:00:00-08:002014-11-06T00:00:00-08:002014-26344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26344.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26343.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the Validea Market Legends ETF of the ETF Series Solutions ETF Trust2014-11-06T00:00:00-08:002014-11-06T00:00:00-08:002014-26343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26343.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26342.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of the Requirement To Apply an Indicator to SPX Combo Orders Upon Systematization2014-11-06T00:00:00-08:002014-11-06T00:00:00-08:002014-26342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26342.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26360.htmlNotice - In the Matter of VHGI Holdings, Inc.; Order of Suspension of Trading2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26360Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26360.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26351.htmlNotice - AllianceBernstein Multi-Manager Alternative Fund, et al.;2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26351.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26350.htmlNotice - Proposed Collection; Comment Request2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26350.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26347.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Automatic Handling Process in No-Bid Series2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26347Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26347.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26234.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.12, Limitation of Liability2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26234.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26233.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.12, Limitation of Liability2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26233Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26233.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26232.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26232Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26232.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26231.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Establish an Opening Process for Non-BATS-Listed Securities2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26231Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26231.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26230.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Establish an Opening Process2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26230.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26229.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26229Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26229.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26228.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or More2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26228.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26227.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2014-11-05T00:00:00-08:002014-11-05T00:00:00-08:002014-26227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26227.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26245.htmlNotice - In the Matter of Hall Tees, Inc., Phoenix Medical Software, Inc., Surface Coatings, Inc., Flint Int'l Services, Inc., Order of Suspension of Trading2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26245.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26235.htmlNotice - Sunshine Act Meeting2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26235Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26235.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26129.htmlNotice - Proposed Collection; Comment Request2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26129.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26128.htmlNotice - Proposed Collection; Comment Request2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26128.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26127.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Amend EDGX Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26127.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26126.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to Its OTC IRS Fee Schedule2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26126.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26125.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of the Sit Rising Rate Fund Under NYSE Arca Equities Rule 8.2002014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26125.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26124.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Exchange Rule 531, Trade Nullification and Price Adjustment Procedure2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26124Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26124.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26123.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26123Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26123.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26122.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26122Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26122.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26121.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related To Extending the FLEX Exercise Settlement Values Pilot2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26121.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26120.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filling of Proposed Rule Change To Provide for the Clearance of Additional Sovereign Contracts2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26120.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26119.htmlNotice - Consolidated Tape Association; Order Approving the Twentieth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Fourteenth Substantive Amendment to the Restated Consolidated Quotation Plan2014-11-04T00:00:00-08:002014-11-04T00:00:00-08:002014-26119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26119.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26013.htmlNotice - 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 Period2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26013.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26012.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policy2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26012Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26012.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26011.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise ICC End-of-Day Price Discovery Policies and Procedures2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26011Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26011.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26010.htmlNotice - 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 System2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26010Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26010.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26009.htmlNotice - 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 Member2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26009Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26009.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26008.htmlNotice - 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, LLC2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26008Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26008.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26007.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26007.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26006.htmlNotice - 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 Contracts2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26006.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26005.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Risk Management Framework2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26005.pdfhttps://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26004.htmlNotice - 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 Transactions2014-11-03T00:00:00-08:002014-11-03T00:00:00-08:002014-26004Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26004.pdf