<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/01/08?registers=between Fri, 29 Nov 2024 02:10:21 -0800 Fri, 29 Nov 2024 02:10:21 -0800 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/securities-and-exchange-commission/2014/01/08?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 2360 (Options) Position Limits https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00075.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00075.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00075 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00075.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/2014/01/08/2014-00074.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00074.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00074 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00074.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Controversial Changes to Its Rules https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00073.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00073.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00073 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00073.pdf Notice - Self-Regulatory Organizations; The NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Describe the Application of Fees Assessed for Connectivity to the Carteret Test Environment under Chapter VIII of the Exchange's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00072.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00072.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00072 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00072.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Eliminate the e-DPM Program January 2, 2014. https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00071.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00071.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00071 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00071.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Describe the Application of Fees Assessed for Connectivity to the Carteret Test Environment under Rule 7030(d) https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00070.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00070.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00070 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00070.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00069.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00069.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00069 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00069.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to a Capacity Management Plan https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00068.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00068.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00068 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00068.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Market-Maker Appointment Cost Rebalances https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00067.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00067.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00067 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00067.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Adopt Commentary .03 to Rule 980NY To Limit the Volume of Complex Orders by a Single ATP Holder During the Trading Day https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00066.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00066.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00066 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00066.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Adopt Commentary .03 to Rule 6.91 To Limit the Volume of Complex Orders by a Single OTP Holder or OTP Firm During the Trading Day https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00065.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00065.html Wed, 08 Jan 2014 00:00:00 -0800 2014-00065 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00065.pdf Rule - Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2014/01/08/2013-31426.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2013-31426.html Wed, 08 Jan 2014 00:00:00 -0800 2013-31426 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2013-31426.pdf Rule - Removal of Certain References to Credit Ratings Under the Investment Company Act https://regulations.justia.com/regulations/fedreg/2014/01/08/2013-31425.html https://regulations.justia.com/regulations/fedreg/2014/01/08/2013-31425.html Wed, 08 Jan 2014 00:00:00 -0800 2013-31425 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2013-31425.pdf