Securities and Exchange Commission January 23, 2014 – Federal Register Recent Federal Regulation Documents

Results 1 - 12 of 12
American Pension Investors Trust, et al.; Notice of Application
Document Number: 2014-01256
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01256.html
Cornerstone Advisors Inc. and The Advisors' Inner Circle Fund; Notice of Application
Document Number: 2014-01255
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01255.html
Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC; Notice of Application
Document Number: 2014-01254
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01254.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee and Rebate Schedule With Respect to the Order Delivery Mode of Interaction With the Exchange
Document Number: 2014-01253
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01253.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order to Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers
Document Number: 2014-01252
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01252.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending NYSE Rules 13, 70.25, 107C and 1000 To Adopt a New Order Type Called a Midpoint Passive Liquidity Order
Document Number: 2014-01251
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01251.html
Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending NYSE MKT Rules 13-Equities, 70.25-Equities, 107C-Equities and 1000-Equities To Adopt a New Order Type Called a Midpoint Passive Liquidity Order
Document Number: 2014-01250
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01250.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modify the BATS Options Opening Process
Document Number: 2014-01249
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01249.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals (“SMMPs”), and the Proposed Deletion of Interpretive Guidance
Document Number: 2014-01248
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01248.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to CME Rule 8G802.B.2
Document Number: 2014-01247
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01247.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Document Number: 2014-01246
Type: Notice
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01246.html
Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
Document Number: 2013-30508
Type: Proposed Rule
Date: 2014-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing rule amendments to Regulation A to implement Section 401 of the Jumpstart Our Business Startups Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act, which directs the Commission to adopt rules exempting offerings of up to $50 million of securities annually from the registration requirements of the Securities Act. The proposed rules include issuer eligibility requirements, content and filing requirements for offering statements and ongoing reporting requirements for issuers.
https://regulations.justia.com/regulations/fedreg/2014/01/23/2013-30508.html
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