<![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/2015/01/06?registers=between Sat, 21 Jun 2025 23:11:27 -0700 Sat, 21 Jun 2025 23:11:27 -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/2015/01/06?registers=between Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending its Information Barrier Rules https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30979.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30979.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30979 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30979.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rules 7014 and 7018 https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30903.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30903.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30903 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30903.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of FINRA Rule 3110(e) (Responsibility of Member To Investigate Applicants for Registration) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30902.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30902.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30902 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30902.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares U.S. Fixed Income Balanced Risk ETF of the iShares U.S. ETF Trust Under Rule 14.11(i) https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30901.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30901.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30901 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30901.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., To Designate Its Chief Strategic Officer, Chief Technology Officer and General Counsel as “Senior Officers” of ICE https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30900.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30900.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30900 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30900.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., To Designate Its Chief Strategic Officer, Chief Technology Officer and General Counsel as “Senior Officers” of ICE https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30899.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30899.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30899 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30899.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., To Designate Its Chief Strategic Officer, Chief Technology Officer and General Counsel as “Senior Officers” of ICE https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30898.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30898.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30898 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30898.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change To Clarify That OCC Would Not Treat a Futures Transaction That Is an Exchange-for-Physical or Block Trade as a Non-Competitively Executed Trade If the Exchange on Which Such Trade Is Executed has Provided OCC With Representations That it Has Policies or Procedures Requiring That Such Trades Be Executed at Reasonable Prices and That Such Price Is Validated by the Exchange https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30897.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30897.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30897 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30897.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Tuttle Tactical Management U.S. Core ETF of ETFis Series Trust I https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30896.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30896.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30896 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30896.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Provide a New Optional Functionality to Minimum Quantity Orders https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30895.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30895.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30895 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30895.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR® DoubleLine Total Return Tactical ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30894.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30894.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30894 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30894.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the CBOE Book Depth Data Feed and for Certain Other CBOE Real-Time Data Feeds https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30893.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30893.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30893 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30893.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar) https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30892.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30892.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30892 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30892.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30891.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30891.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30891 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30891.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the C2 Book Depth Data Feed and Certain Other C2 Real-Time Data Feeds https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30890.html https://regulations.justia.com/regulations/fedreg/2015/01/06/2014-30890.html Tue, 06 Jan 2015 00:00:00 -0800 2014-30890 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-06/pdf/2014-30890.pdf