<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/01/31?registers=between Sat, 18 May 2024 03:33:18 -0700 Sat, 18 May 2024 03:33:18 -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/securities-and-exchange-commission/2014/01/31?registers=between Rule - Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-02019.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-02019.html Fri, 31 Jan 2014 00:00:00 -0800 2014-02019 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-02019.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01970.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01970.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01970 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01970.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. In Order To Make Certain Technical Changes Within the Aforementioned Agreements https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01969.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01969.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01969 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01969.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01968.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01968.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01968 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01968.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change Relating to Participation on the Alternative Display Facility https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01967.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01967.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01967 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01967.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding System Protections https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01966.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01966.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01966 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01966.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding System Protections https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01965.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01965.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01965 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01965.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Cancellation Fee https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01964.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01964.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01964 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01964.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to its OTC Credit Default Swap Clearing Offering https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01963.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01963.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01963 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01963.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Bylaws of its Parent Company https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01962.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01962.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01962 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01962.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Bylaws of its Parent Company https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01961.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01961.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01961 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01961.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Risk Management Tools Designed To Allow Participants To Monitor and Address Exposure to Risk https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01960.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01960.html Fri, 31 Jan 2014 00:00:00 -0800 2014-01960 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01960.pdf Rule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds https://regulations.justia.com/regulations/fedreg/2014/01/31/2013-31511.html https://regulations.justia.com/regulations/fedreg/2014/01/31/2013-31511.html Fri, 31 Jan 2014 00:00:00 -0800 2013-31511 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2013-31511.pdf