<![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?registers=between&min-day=1&max-day=30 Wed, 01 May 2024 07:20:36 -0700 Wed, 01 May 2024 07:20:36 -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?registers=between&min-day=1&max-day=30 Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28084.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28084.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28084 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28084.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28083.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28083.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28083 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28083.pdf Notice - 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 User https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28082.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28082.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28082 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28082.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change to Finance Procedures https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28080.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28080.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28080 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28080.pdf Notice - 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 Resource https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28079.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28079.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28079 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28079.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28078.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28078.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28078 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28078.pdf Notice - 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 User https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-28081.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-28081.html Wed, 26 Nov 2014 00:00:00 -0800 2014-28081 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-28081.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Interest Reports https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-28026.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-28026.html Wed, 26 Nov 2014 00:00:00 -0800 2014-28026 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-28026.pdf Notice - Lattice Strategies, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27982.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27982.html Wed, 26 Nov 2014 00:00:00 -0800 2014-27982 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27982.pdf Notice - Advanced Series Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27981.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27981.html Wed, 26 Nov 2014 00:00:00 -0800 2014-27981 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27981.pdf Notice - BlackRock, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27980.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27980.html Wed, 26 Nov 2014 00:00:00 -0800 2014-27980 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27980.pdf Notice - 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 Share https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27979.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27979.html Wed, 26 Nov 2014 00:00:00 -0800 2014-27979 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27979.pdf Notice - 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 Share https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27978.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27978.html Wed, 26 Nov 2014 00:00:00 -0800 2014-27978 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27978.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 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27977.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27977.html Wed, 26 Nov 2014 00:00:00 -0800 2014-27977 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27977.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27976.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27976.html Wed, 26 Nov 2014 00:00:00 -0800 2014-27976 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27976.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27975.html https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27975.html Wed, 26 Nov 2014 00:00:00 -0800 2014-27975 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27975.pdf Notice - In the Matter of Bravo Enterprises Ltd.; Immunotech Laboratories, Inc.; Myriad Interactive Media, Inc.; Wholehealth Products, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27881.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27881.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27881 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27881.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27879.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27879.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27879 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27879.pdf Notice - 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, LLC https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27878.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27878.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27878 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27878.pdf Notice - 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 Comment https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27846.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27846.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27846 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27846.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27845.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27845.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27845 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27845.pdf Notice - 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 Share https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27844.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27844.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27844 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27844.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to ICE Clear Europe Board Risk Committee https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27843.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27843.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27843 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27843.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27842.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27842.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27842 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27842.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27841.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27841.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27841 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27841.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27840.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27840.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27840 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27840.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27839.html https://regulations.justia.com/regulations/fedreg/2014/11/25/2014-27839.html Tue, 25 Nov 2014 00:00:00 -0800 2014-27839 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-25/pdf/2014-27839.pdf 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 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27800.html https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27800.html Fri, 21 Nov 2014 00:00:00 -0800 2014-27800 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27800.pdf Rule - Staff Accounting Bulletin No. 115 https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27618.html https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27618.html Fri, 21 Nov 2014 00:00:00 -0800 2014-27618 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27618.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Decision Not To Clear Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27572.html https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27572.html Fri, 21 Nov 2014 00:00:00 -0800 2014-27572 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27572.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Its Information Barrier Rules https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27571.html https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27571.html Fri, 21 Nov 2014 00:00:00 -0800 2014-27571 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27571.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27570.html https://regulations.justia.com/regulations/fedreg/2014/11/21/2014-27570.html Fri, 21 Nov 2014 00:00:00 -0800 2014-27570 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-21/pdf/2014-27570.pdf Notice - 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 8.200 https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27456.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27456.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27456 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27456.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Finance Procedures https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27453.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27453.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27453 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27453.pdf Notice - 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 Clearing https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27452.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27452.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27452 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27452.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27451.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27451.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27451 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27451.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27450.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27450.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27450 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27450.pdf Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Expand the Trading Hours for Bilateral Block Trades and Bilateral EFP Trades https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27448.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27448.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27448 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27448.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27447.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27447.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27447 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27447.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27446.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27446.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27446 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27446.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27445.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27445.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27445 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27445.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27443.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27443.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27443 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27443.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27442.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27442.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27442 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27442.pdf Notice - 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 Types https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27441.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27441.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27441 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27441.pdf Proposed Rule - Forward Contracts With Embedded Volumetric Optionality https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27285.html https://regulations.justia.com/regulations/fedreg/2014/11/20/2014-27285.html Thu, 20 Nov 2014 00:00:00 -0800 2014-27285 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-11-20/pdf/2014-27285.pdf Notice - In the Matter of YesDTC Holdings, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27471.html https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27471.html Wed, 19 Nov 2014 00:00:00 -0800 2014-27471 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27471.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27314.html https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27314.html Wed, 19 Nov 2014 00:00:00 -0800 2014-27314 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27314.pdf Notice - 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 Opening https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27313.html https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27313.html Wed, 19 Nov 2014 00:00:00 -0800 2014-27313 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27313.pdf Notice - 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 Instructions https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27312.html https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27312.html Wed, 19 Nov 2014 00:00:00 -0800 2014-27312 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27312.pdf Notice - 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 515A https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27311.html https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27311.html Wed, 19 Nov 2014 00:00:00 -0800 2014-27311 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27311.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27310.html https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27310.html Wed, 19 Nov 2014 00:00:00 -0800 2014-27310 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27310.pdf Notice - 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, 2015 https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27309.html https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27309.html Wed, 19 Nov 2014 00:00:00 -0800 2014-27309 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27309.pdf Notice - 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, 2014 https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27308.html https://regulations.justia.com/regulations/fedreg/2014/11/19/2014-27308.html Wed, 19 Nov 2014 00:00:00 -0800 2014-27308 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-19/pdf/2014-27308.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27355.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27355.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27355 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27355.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27316.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27316.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27316 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27316.pdf Notice - 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 Pricing https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27212.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27212.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27212 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27212.pdf Notice - 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 Conditions https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27211.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27211.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27211 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27211.pdf Notice - 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 Documents https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27195.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27195.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27195 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27195.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27191.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27191.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27191 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27191.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27190.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27190.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27190 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27190.pdf Notice - 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 Workstation https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27189.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27189.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27189 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27189.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27187.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27187.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27187 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27187.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27186.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27186.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27186 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27186.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Certain Order Types, Modifiers and Related Functionality https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27185.html https://regulations.justia.com/regulations/fedreg/2014/11/18/2014-27185.html Tue, 18 Nov 2014 00:00:00 -0800 2014-27185 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-18/pdf/2014-27185.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/11/17/2014-27240.html https://regulations.justia.com/regulations/fedreg/2014/11/17/2014-27240.html Mon, 17 Nov 2014 00:00:00 -0800 2014-27240 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-17/pdf/2014-27240.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/11/17/2014-27065.html https://regulations.justia.com/regulations/fedreg/2014/11/17/2014-27065.html Mon, 17 Nov 2014 00:00:00 -0800 2014-27065 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-17/pdf/2014-27065.pdf Notice - 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 Contracts https://regulations.justia.com/regulations/fedreg/2014/11/17/2014-27064.html https://regulations.justia.com/regulations/fedreg/2014/11/17/2014-27064.html Mon, 17 Nov 2014 00:00:00 -0800 2014-27064 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-17/pdf/2014-27064.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26951.html https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26951.html Fri, 14 Nov 2014 00:00:00 -0800 2014-26951 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26951.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26950.html https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26950.html Fri, 14 Nov 2014 00:00:00 -0800 2014-26950 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26950.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26949.html https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26949.html Fri, 14 Nov 2014 00:00:00 -0800 2014-26949 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26949.pdf Notice - 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 .02 https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26948.html https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26948.html Fri, 14 Nov 2014 00:00:00 -0800 2014-26948 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26948.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26947.html https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26947.html Fri, 14 Nov 2014 00:00:00 -0800 2014-26947 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26947.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26946.html https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26946.html Fri, 14 Nov 2014 00:00:00 -0800 2014-26946 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26946.pdf Notice - 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, 2014 https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26945.html https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26945.html Fri, 14 Nov 2014 00:00:00 -0800 2014-26945 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26945.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26944.html https://regulations.justia.com/regulations/fedreg/2014/11/14/2014-26944.html Fri, 14 Nov 2014 00:00:00 -0800 2014-26944 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-14/pdf/2014-26944.pdf Notice - Order of Suspension of Trading; In the Matter of Kolasco Corp. https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26959.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26959.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26959 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26959.pdf Notice - 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, 2014 https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26843.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26843.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26843 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26843.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26842.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26842.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26842 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26842.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26841.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26841.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26841 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26841.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26840.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26840.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26840 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26840.pdf Notice - Eaton Vance Management, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26817.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26817.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26817 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26817.pdf Notice - AllianceBernstein Cap Fund, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26816.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26816.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26816 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26816.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26815.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26815.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26815 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26815.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26814.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26814.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26814 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26814.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26813.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26813.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26813 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26813.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26812.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26812.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26812 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26812.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26811.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26811.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26811 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26811.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Two Typographical Errors in Rule 3315 https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26810.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26810.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26810 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26810.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26809.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26809.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26809 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26809.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancel-Replacement Orders and Routing https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26808.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26808.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26808 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26808.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancel-Replacement and Route Timer https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26807.html https://regulations.justia.com/regulations/fedreg/2014/11/13/2014-26807.html Thu, 13 Nov 2014 00:00:00 -0800 2014-26807 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-13/pdf/2014-26807.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26818.html https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26818.html Wed, 12 Nov 2014 00:00:00 -0800 2014-26818 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26818.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26693.html https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26693.html Wed, 12 Nov 2014 00:00:00 -0800 2014-26693 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26693.pdf Notice - 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 Contracts https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26692.html https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26692.html Wed, 12 Nov 2014 00:00:00 -0800 2014-26692 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26692.pdf Notice - 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 Parent https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26691.html https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26691.html Wed, 12 Nov 2014 00:00:00 -0800 2014-26691 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26691.pdf Notice - 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 Parent https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26690.html https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26690.html Wed, 12 Nov 2014 00:00:00 -0800 2014-26690 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26690.pdf Notice - 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 Identifier https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26689.html https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26689.html Wed, 12 Nov 2014 00:00:00 -0800 2014-26689 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26689.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26688.html https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26688.html Wed, 12 Nov 2014 00:00:00 -0800 2014-26688 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26688.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26687.html https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26687.html Wed, 12 Nov 2014 00:00:00 -0800 2014-26687 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26687.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26686.html https://regulations.justia.com/regulations/fedreg/2014/11/12/2014-26686.html Wed, 12 Nov 2014 00:00:00 -0800 2014-26686 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-12/pdf/2014-26686.pdf Notice - [Investment Company Act Release No. 31328; File No. 812-14329] HEADAmerican Century Capital Portfolios, Inc. and American Century Investment Management, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/11/10/2014-26587.html https://regulations.justia.com/regulations/fedreg/2014/11/10/2014-26587.html Mon, 10 Nov 2014 00:00:00 -0800 2014-26587 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-10/pdf/2014-26587.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/11/10/2014-26586.html https://regulations.justia.com/regulations/fedreg/2014/11/10/2014-26586.html Mon, 10 Nov 2014 00:00:00 -0800 2014-26586 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-10/pdf/2014-26586.pdf Rule - Asset-Backed Securities Disclosure and Registration; Correction https://regulations.justia.com/regulations/fedreg/2014/11/10/2014-26504.html https://regulations.justia.com/regulations/fedreg/2014/11/10/2014-26504.html Mon, 10 Nov 2014 00:00:00 -0800 2014-26504 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-11-10/pdf/2014-26504.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26463.html https://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26463.html Fri, 07 Nov 2014 00:00:00 -0800 2014-26463 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-07/pdf/2014-26463.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26462.html https://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26462.html Fri, 07 Nov 2014 00:00:00 -0800 2014-26462 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-07/pdf/2014-26462.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26461.html https://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26461.html Fri, 07 Nov 2014 00:00:00 -0800 2014-26461 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-07/pdf/2014-26461.pdf Notice - 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 Director https://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26460.html https://regulations.justia.com/regulations/fedreg/2014/11/07/2014-26460.html Fri, 07 Nov 2014 00:00:00 -0800 2014-26460 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-07/pdf/2014-26460.pdf Notice - 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 Quotes https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26349.html https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26349.html Thu, 06 Nov 2014 00:00:00 -0800 2014-26349 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26349.pdf Notice - 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 Quotes https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26348.html https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26348.html Thu, 06 Nov 2014 00:00:00 -0800 2014-26348 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26348.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26346.html https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26346.html Thu, 06 Nov 2014 00:00:00 -0800 2014-26346 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26346.pdf Notice - 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 Purposes https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26345.html https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26345.html Thu, 06 Nov 2014 00:00:00 -0800 2014-26345 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26345.pdf Notice - 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 Purposes https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26344.html https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26344.html Thu, 06 Nov 2014 00:00:00 -0800 2014-26344 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26344.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26343.html https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26343.html Thu, 06 Nov 2014 00:00:00 -0800 2014-26343 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26343.pdf Notice - 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 Systematization https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26342.html https://regulations.justia.com/regulations/fedreg/2014/11/06/2014-26342.html Thu, 06 Nov 2014 00:00:00 -0800 2014-26342 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-06/pdf/2014-26342.pdf Notice - In the Matter of VHGI Holdings, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26360.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26360.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26360 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26360.pdf Notice - AllianceBernstein Multi-Manager Alternative Fund, et al.; https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26351.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26351.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26351 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26351.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26350.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26350.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26350 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26350.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26347.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26347.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26347 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26347.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.12, Limitation of Liability https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26234.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26234.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26234 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26234.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.12, Limitation of Liability https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26233.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26233.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26233 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26233.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26232.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26232.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26232 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26232.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Establish an Opening Process for Non-BATS-Listed Securities https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26231.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26231.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26231 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26231.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Establish an Opening Process https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26230.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26230.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26230 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26230.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26229.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26229.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26229 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26229.pdf Notice - 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 More https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26228.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26228.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26228 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26228.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26227.html https://regulations.justia.com/regulations/fedreg/2014/11/05/2014-26227.html Wed, 05 Nov 2014 00:00:00 -0800 2014-26227 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-05/pdf/2014-26227.pdf Notice - In the Matter of Hall Tees, Inc., Phoenix Medical Software, Inc., Surface Coatings, Inc., Flint Int'l Services, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26245.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26245.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26245 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26245.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26235.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26235.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26235 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26235.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26129.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26129.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26129 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26129.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26128.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26128.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26128 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26128.pdf Notice - 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 Instructions https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26127.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26127.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26127 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26127.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to Its OTC IRS Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26126.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26126.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26126 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26126.pdf Notice - 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 8.200 https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26125.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26125.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26125 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26125.pdf Notice - 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 Procedure https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26124.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26124.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26124 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26124.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26123.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26123.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26123 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26123.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26122.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26122.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26122 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26122.pdf Notice - 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 Pilot https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26121.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26121.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26121 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26121.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filling of Proposed Rule Change To Provide for the Clearance of Additional Sovereign Contracts https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26120.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26120.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26120 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26120.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26119.html https://regulations.justia.com/regulations/fedreg/2014/11/04/2014-26119.html Tue, 04 Nov 2014 00:00:00 -0800 2014-26119 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-04/pdf/2014-26119.pdf 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