<![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/2014/12/08?registers=between Wed, 25 Jun 2025 16:22:40 -0700 Wed, 25 Jun 2025 16:22:40 -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/2014/12/08?registers=between Proposed Rule - Elkhorn Investments, LLC and Elkhorn ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28682.html https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28682.html Mon, 08 Dec 2014 00:00:00 -0800 2014-28682 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28682.pdf Proposed Rule - Alternative Strategies Fund and Ladenburg Thalmann Asset Management, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28648.html https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28648.html Mon, 08 Dec 2014 00:00:00 -0800 2014-28648 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28648.pdf Proposed Rule - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Commentary .03 to Exchange Rule 6.86 https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28647.html https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28647.html Mon, 08 Dec 2014 00:00:00 -0800 2014-28647 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28647.pdf Proposed Rule - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality for Registered Market Makers on the PHLX Options Market https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28646.html https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28646.html Mon, 08 Dec 2014 00:00:00 -0800 2014-28646 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28646.pdf Proposed Rule - Self-Regulatory Organizations; NYSE MKT LLC.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Rule 970.1NY https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28645.html https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28645.html Mon, 08 Dec 2014 00:00:00 -0800 2014-28645 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28645.pdf Proposed Rule - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the AdvisorShares Pacific Asset Enhanced Floating Rate ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28644.html https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28644.html Mon, 08 Dec 2014 00:00:00 -0800 2014-28644 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28644.pdf Proposed Rule - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading the following Series of IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600: IQ Wilshire Alternative Strategies ETF https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28643.html https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28643.html Mon, 08 Dec 2014 00:00:00 -0800 2014-28643 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28643.pdf Proposed Rule - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change Relating to Bilateral Block and Bilateral EFP Reporting Guidance https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28642.html https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28642.html Mon, 08 Dec 2014 00:00:00 -0800 2014-28642 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28642.pdf Proposed Rule - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28641.html https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28641.html Mon, 08 Dec 2014 00:00:00 -0800 2014-28641 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28641.pdf