Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/01?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T15:47:17-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-02019.htmlRule - 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 Funds2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-02019Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-02019.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01970.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01970.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01969.htmlNotice - 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 Agreements2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01969.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01968.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Its Options Regulatory Fee2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01968.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01967.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change Relating to Participation on the Alternative Display Facility2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01967.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01966.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding System Protections2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01966.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01965.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding System Protections2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01965.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01964.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Cancellation Fee2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01964.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01963.htmlNotice - 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 Offering2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01963.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01962.htmlNotice - 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 Company2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01962Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01962.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01961.htmlNotice - 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 Company2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01961.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2014-01960.htmlNotice - 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 Risk2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002014-01960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2014-01960.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/31/2013-31511.htmlRule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds2014-01-31T00:00:00-08:002014-01-31T00:00:00-08:002013-31511Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-31/pdf/2013-31511.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01817.htmlNotice - Submission for OMB Review; Comment Request2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01817.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01816.htmlNotice - Submission for OMB Review; Comment Request2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01816.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01815.htmlNotice - Submission for OMB Review; Comment Request2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01815.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01814.htmlNotice - Submission for OMB Review; Comment Request2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01814Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01814.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01813.htmlNotice - Submission for OMB Review; Comment Request2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01813Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01813.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01812.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning the Governance Committee Charter2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01812Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01812.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01811.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Action in Which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01811Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01811.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01810.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to a Corporate Action in Which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01810Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01810.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01809.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Action in Which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange, Inc.2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01809Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01809.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01808.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01808.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01807.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01807.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/30/2014-01806.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating the Description of the Data Included in the ArcaBook Equities Data Feed2014-01-30T00:00:00-08:002014-01-30T00:00:00-08:002014-01806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-30/pdf/2014-01806.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01836.htmlNotice - Olie, Inc. and Hi Score Corp.; Order of Suspension of Trading2014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01836.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01663.htmlNotice - USAA Asset Management Company, et al.; Notice of Application2014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01663Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01663.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01662.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Merk Gold Trust Pursuant to NYSE Arca Equities Rule 8.2012014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01662Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01662.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01661.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3 Thereto, To List and Trade Shares of Merk Hard Currency ETF Under NYSE Arca Equities Rule 8.6002014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01661Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01661.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01660.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Filing Concerning the Governance Committee Charter2014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01660.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01659.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS-Y Exchange, Inc.; Order Granting Approval of Proposed Rule Change in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC2014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01659.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01658.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Rules To Remove the BOX-Top Order2014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01658.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01657.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Uniform Branch Office Registration Form (Form BR)2014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01657.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01656.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules2014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01656.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01655.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule To Amend CBOE's Rules To Enhance the Independence and Integrity of the Regulatory Functions of the Exchange2014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01655.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/29/2014-01628.htmlProposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act2014-01-29T00:00:00-08:002014-01-29T00:00:00-08:002014-01628Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-29/pdf/2014-01628.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/28/2014-01681.htmlNotice - Advanced Pipe Fitting Technologies Inc., Order of Suspension of Trading2014-01-28T00:00:00-08:002014-01-28T00:00:00-08:002014-01681Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-28/pdf/2014-01681.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/28/2014-01680.htmlNotice - Jinhao Motor Company; Order of Suspension of Trading2014-01-28T00:00:00-08:002014-01-28T00:00:00-08:002014-01680Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-28/pdf/2014-01680.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/28/2014-01677.htmlNotice - Order of Suspension of Trading; in the Matter of New Dragon Asia Corp.2014-01-28T00:00:00-08:002014-01-28T00:00:00-08:002014-01677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-28/pdf/2014-01677.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/28/2014-01512.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(b)(2) To Specify That the Exchange Would Not Apply Limit Order Price Protection To Limit Orders Entered Before Core Trading Hours That Are Designated for the Core Trading Session or the Market Order Auction2014-01-28T00:00:00-08:002014-01-28T00:00:00-08:002014-01512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-28/pdf/2014-01512.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/28/2014-01511.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Add a Minimum Execution Size Designation for Tracking Orders and MPL-IOC Orders2014-01-28T00:00:00-08:002014-01-28T00:00:00-08:002014-01511Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-28/pdf/2014-01511.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/28/2014-01510.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List Options on the Nations VolDex Index2014-01-28T00:00:00-08:002014-01-28T00:00:00-08:002014-01510Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-28/pdf/2014-01510.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/27/2014-01621.htmlNotice - Sunshine Act Meeting2014-01-27T00:00:00-08:002014-01-27T00:00:00-08:002014-01621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-27/pdf/2014-01621.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/27/2014-01618.htmlNotice - Sunshine Act Meeting2014-01-27T00:00:00-08:002014-01-27T00:00:00-08:002014-01618Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-27/pdf/2014-01618.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/27/2014-01513.htmlNotice - Sunshine Act Meeting2014-01-27T00:00:00-08:002014-01-27T00:00:00-08:002014-01513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-27/pdf/2014-01513.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/27/2014-01427.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500-Equities to Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of a Permanent Approval or July 31, 20142014-01-27T00:00:00-08:002014-01-27T00:00:00-08:002014-01427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-27/pdf/2014-01427.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/27/2014-01426.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend the Operation of Its Supplemental Liquidity Providers Pilot, Currently Scheduled To Expire on January 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 20142014-01-27T00:00:00-08:002014-01-27T00:00:00-08:002014-01426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-27/pdf/2014-01426.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/27/2014-01425.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend the Operation of Its Supplemental Liquidity Providers Pilot, Currently Scheduled To Expire on January 31, 2014, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 20142014-01-27T00:00:00-08:002014-01-27T00:00:00-08:002014-01425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-27/pdf/2014-01425.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/27/2014-01424.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 Which Sets Forth Net Liquid Assets Requirements for Member Organizations That Operate as Designated Market Maker Units2014-01-27T00:00:00-08:002014-01-27T00:00:00-08:002014-01424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-27/pdf/2014-01424.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01406.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; NASDAQ OMX BX, Inc.; the NASDAQ Stock Market LLC; NASDAQ OMX PHLX LLC; Stock Clearing Corporation of Philadelphia; Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.2014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01406Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01406.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01405.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change With Respect to the Composition of NASDAQ Basic2014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01405.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01404.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change With Respect to NASDAQ Last Sale2014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01404.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01403.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq)2014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01403Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01403.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01402.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect a Change to the Means of Achieving the Investment Objective Applicable to the STARTM2014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01402.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01401.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Quote Risk Monitor Mechanism2014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01401Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01401.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01400.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Rule 7290 (Price Protection for Limit Orders)2014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01400Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01400.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01399.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend the Operation of its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 20142014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01399Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01399.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01398.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend BOX Rule 81302014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01398.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01397.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Rule 7280 (Bulk Cancellation of Trading Interest)2014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01397.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01396.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 20142014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01396.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/24/2014-01395.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Require Alternative Trading Systems To Report Volume Information to FINRA and Use Unique Market Participant Identifiers2014-01-24T00:00:00-08:002014-01-24T00:00:00-08:002014-01395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-24/pdf/2014-01395.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01256.htmlNotice - American Pension Investors Trust, et al.; Notice of Application2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01256.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01255.htmlNotice - Cornerstone Advisors Inc. and The Advisors' Inner Circle Fund; Notice of Application2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01255Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01255.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01254.htmlNotice - Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC; Notice of Application2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01254.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01253.htmlNotice - 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 Exchange2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01253.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01252.htmlNotice - 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 Modifiers2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01252.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01251.htmlNotice - 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 Order2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01251Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01251.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01250.htmlNotice - 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 Order2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01250.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01249.htmlNotice - 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 Process2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01249Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01249.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01248.htmlNotice - 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 Guidance2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01248Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01248.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01247.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to CME Rule 8G802.B.22014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01247.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2014-01246.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002014-01246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2014-01246.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/23/2013-30508.htmlProposed Rule - Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act2014-01-23T00:00:00-08:002014-01-23T00:00:00-08:002013-30508Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-23/pdf/2013-30508.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01257.htmlNotice - Sunshine Act Meeting2014-01-22T00:00:00-08:002014-01-22T00:00:00-08:002014-01257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-22/pdf/2014-01257.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01138.htmlNotice - Multi-Strategy Growth & Income Fund and RJL Capital Management, LLC; Notice of Application2014-01-22T00:00:00-08:002014-01-22T00:00:00-08:002014-01138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-22/pdf/2014-01138.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01137.htmlNotice - Total Income+ Real Estate Fund and Bluerock Fund Advisor LLC; Notice of Application2014-01-22T00:00:00-08:002014-01-22T00:00:00-08:002014-01137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-22/pdf/2014-01137.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01135.htmlNotice - ALPS Series Trust, et al.; Notice of Application2014-01-22T00:00:00-08:002014-01-22T00:00:00-08:002014-01135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-22/pdf/2014-01135.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01108.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Establish Fees for Complex Order Price Improvement Period (“COPIP”) Transactions2014-01-22T00:00:00-08:002014-01-22T00:00:00-08:002014-01108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-22/pdf/2014-01108.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01107.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Amendments to the Charters for the Membership/Risk Committee, Audit Committee and Performance Committee of OCC's Board of Directors2014-01-22T00:00:00-08:002014-01-22T00:00:00-08:002014-01107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-22/pdf/2014-01107.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01106.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Quarterly Options Series Program To Eliminate the Cap on the Number of Additional Series That May Be Listed per Expiration Month for Each Quarterly Options Series in ETF Options2014-01-22T00:00:00-08:002014-01-22T00:00:00-08:002014-01106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-22/pdf/2014-01106.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01105.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.6002014-01-22T00:00:00-08:002014-01-22T00:00:00-08:002014-01105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-22/pdf/2014-01105.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01104.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2014-01-22T00:00:00-08:002014-01-22T00:00:00-08:002014-01104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-22/pdf/2014-01104.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-01031.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-01031Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-01031.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00995.htmlNotice - Proposed Collection; Comment Request2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00995Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00995.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00994.htmlNotice - Proposed Collection; Comment Request2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00994Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00994.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00993.htmlNotice - Proposed Collection; Comment Request2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00993.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00992.htmlNotice - Proposed Collection; Comment Request2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00992.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00991.htmlNotice - Proposed Collection; Comment Request2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00991.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00990.htmlNotice - Submission for OMB Review; Comment Request2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00990Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00990.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00989.htmlNotice - Submission for OMB Review; Comment Request2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00989Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00989.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00988.htmlNotice - Submission for OMB Review; Comment Request2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00988Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00988.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00987.htmlNotice - Submission for OMB Review; Comment Request2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00987Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00987.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00986.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Billing Dispute Practice2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00986Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00986.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00985.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Billing Dispute Practice2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00985Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00985.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00984.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00984.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00983.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Its Rules in Order To Clarify the Applicability and Functionality of Certain Order Types on the Exchange2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00983.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/21/2014-00982.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Its Rules in Order To Clarify the Applicability and Functionality of Certain Order Types on the Exchange2014-01-21T00:00:00-08:002014-01-21T00:00:00-08:002014-00982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-21/pdf/2014-00982.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/17/2014-01034.htmlNotice - Sunshine Act Meetings2014-01-17T00:00:00-08:002014-01-17T00:00:00-08:002014-01034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-17/pdf/2014-01034.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/17/2014-01033.htmlNotice - Power Air Corporation, Wescorp Energy, Inc., and World Ventures, Inc.; Order of Suspension of Trading2014-01-17T00:00:00-08:002014-01-17T00:00:00-08:002014-01033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-17/pdf/2014-01033.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/17/2014-01032.htmlNotice - Lumonall, Inc., Smart Comm International Ltd., Tissera, Inc., Ungava Mines, Inc., Unity Wireless Corporation, and Zupintra Corporation, Inc.; Order of Suspension of Trading2014-01-17T00:00:00-08:002014-01-17T00:00:00-08:002014-01032Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-17/pdf/2014-01032.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/17/2014-00834.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change Regarding the Designation of a Primary Backup Data Center2014-01-17T00:00:00-08:002014-01-17T00:00:00-08:002014-00834Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-17/pdf/2014-00834.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/17/2014-00822.htmlNotice - Prospect Capital Corporation, et al.; Notice of Application2014-01-17T00:00:00-08:002014-01-17T00:00:00-08:002014-00822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-17/pdf/2014-00822.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/17/2014-00795.htmlNotice - Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee2014-01-17T00:00:00-08:002014-01-17T00:00:00-08:002014-00795Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-17/pdf/2014-00795.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00740.htmlRule - Registration of Municipal Advisors; Temporary Stay of Final Rule2014-01-16T00:00:00-08:002014-01-16T00:00:00-08:002014-00740Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00740.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00706.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)2014-01-16T00:00:00-08:002014-01-16T00:00:00-08:002014-00706Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00706.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00691.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or More2014-01-16T00:00:00-08:002014-01-16T00:00:00-08:002014-00691Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00691.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00690.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the PULSe Workstation2014-01-16T00:00:00-08:002014-01-16T00:00:00-08:002014-00690Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00690.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00689.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Applicability of the Competitive Liquidity Provider Program2014-01-16T00:00:00-08:002014-01-16T00:00:00-08:002014-00689Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00689.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00688.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Continue Its Priority Customer Rebate Program on an Ongoing Basis2014-01-16T00:00:00-08:002014-01-16T00:00:00-08:002014-00688Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00688.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00687.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities2014-01-16T00:00:00-08:002014-01-16T00:00:00-08:002014-00687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00687.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00686.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC (d/b/a ISE Gemini); Order Declaring Effective a Minor Rule Violation Plan for Topaz Exchange, LLC2014-01-16T00:00:00-08:002014-01-16T00:00:00-08:002014-00686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00686.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/16/2014-00556.htmlRule - Rules of the Securities Investor Protection Corporation2014-01-16T00:00:00-08:002014-01-16T00:00:00-08:002014-00556Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-16/pdf/2014-00556.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00606.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00606.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00605.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund and the ETSpreads IG Short Credit Fund Under NYSE Arca Equities Rule 8.6002014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00605.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00584.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Modifications to Fees and Credits Under Rules 7014 and 70182014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00584Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00584.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00583.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule for Firms To Increase the Transaction Fee for Certain Proprietary Electronic Executions of Standard Option Contracts That Fall Within the First of the Volume-Based Tiers for Certain Proprietary Electronic Executions of Standard Option Contracts2014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00583Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00583.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00582.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Effective as of January 1, 2014 Recently Approved Changes to NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual Concerning Charges by Member Organizations for Processing and Forwarding Proxy and Other Issuer Communications to Beneficial Owners, and Establishing a Fee Under Certain Conditions for an Enhanced Brokers' Internet Platform2014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00582Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00582.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00581.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials), Which Includes Fees for Processing and Forwarding Proxy and Other Issuer Communications to Beneficial Owners, and Establish a Fee Under Certain Conditions for an Enhanced Brokers' Internet Platform2014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00581Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00581.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00580.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund2014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00580.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00579.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of db-X Ultra-Short Duration Fund and db-X Managed Municipal Bond Fund Under NYSE Arca Equities Rule 8.6002014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00579.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00578.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Provide OCC With Authority in Emergency Circumstances To Extend, Waive, or Suspend the Operation of Its By-Laws, Rules, Policies and Procedures, or Any Other Rules Issued by OCC2014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00578Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00578.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00577.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Establish an Institutional Liquidity Program on a One-Year Pilot Basis2014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00577Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00577.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00576.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Establish the Minimum Financial Requirements for the Existing Membership Category of Registered Investment Company Netting Members in the Government Securities Division2014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00576.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00575.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of AdvisorShares Sage Core Reserves ETF Under NYSE Arca Equities Rule 8.6002014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00575.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/15/2014-00574.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting2014-01-15T00:00:00-08:002014-01-15T00:00:00-08:002014-00574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-15/pdf/2014-00574.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/14/2014-00558.htmlNotice - Sunshine Act Meeting2014-01-14T00:00:00-08:002014-01-14T00:00:00-08:002014-00558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-14/pdf/2014-00558.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/14/2014-00508.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-01-14T00:00:00-08:002014-01-14T00:00:00-08:002014-00508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-14/pdf/2014-00508.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/14/2014-00467.htmlNotice - Submission for OMB Review; Comment Request2014-01-14T00:00:00-08:002014-01-14T00:00:00-08:002014-00467Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-14/pdf/2014-00467.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/14/2014-00466.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2014-01-14T00:00:00-08:002014-01-14T00:00:00-08:002014-00466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-14/pdf/2014-00466.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/14/2014-00465.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program2014-01-14T00:00:00-08:002014-01-14T00:00:00-08:002014-00465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-14/pdf/2014-00465.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/14/2014-00464.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Multiply Listed Options Fees2014-01-14T00:00:00-08:002014-01-14T00:00:00-08:002014-00464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-14/pdf/2014-00464.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/14/2014-00463.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination (“RTRS Facility”); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements Under Rules G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40; and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-122014-01-14T00:00:00-08:002014-01-14T00:00:00-08:002014-00463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-14/pdf/2014-00463.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/14/2014-00462.htmlNotice - Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change by the NASDAQ Stock Market LLC Proposes To Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross (“Cross”)2014-01-14T00:00:00-08:002014-01-14T00:00:00-08:002014-00462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-14/pdf/2014-00462.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00346.htmlNotice - Joint Industry Plan; Notice of Filing of the Sixth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.2014-01-13T00:00:00-08:002014-01-13T00:00:00-08:002014-00346Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00346.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00345.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(7)(b) To Provide That G Orders With a Price Equal to the Closing Price Are the Last Interest Eligible To Be Used To Offset a Closing Imbalance2014-01-13T00:00:00-08:002014-01-13T00:00:00-08:002014-00345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00345.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00344.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C(7)(b)-Equities To Provide That G Orders With a Price Equal to the Closing Price Are the Last Interest Eligible To Be Used to Offset A Closing Imbalance2014-01-13T00:00:00-08:002014-01-13T00:00:00-08:002014-00344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00344.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00343.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Multi-Class Spread Orders2014-01-13T00:00:00-08:002014-01-13T00:00:00-08:002014-00343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00343.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00342.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program2014-01-13T00:00:00-08:002014-01-13T00:00:00-08:002014-00342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00342.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00341.htmlNotice - Self-Regulatory Organization; BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program2014-01-13T00:00:00-08:002014-01-13T00:00:00-08:002014-00341Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00341.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00337.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 928NY To Expand the Scope of the Existing Risk Limitation Mechanism To Address Multiple, Successive Triggers of the Risk Limitation Mechanism2014-01-13T00:00:00-08:002014-01-13T00:00:00-08:002014-00337Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00337.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00334.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.40 To Expand the Scope of the Existing Risk Limitation Mechanism To Address Multiple, Successive Triggers of the Risk Limitation Mechanism2014-01-13T00:00:00-08:002014-01-13T00:00:00-08:002014-00334Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00334.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/13/2014-00332.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse (“OW”) Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW2014-01-13T00:00:00-08:002014-01-13T00:00:00-08:002014-00332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-13/pdf/2014-00332.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/10/2014-00219.htmlRule - Responsibilities of the General Counsel2014-01-10T00:00:00-08:002014-01-10T00:00:00-08:002014-00219Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-10/pdf/2014-00219.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/10/2014-00213.htmlNotice - Proposed Collection; Comment Request2014-01-10T00:00:00-08:002014-01-10T00:00:00-08:002014-00213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-10/pdf/2014-00213.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/10/2014-00212.htmlNotice - Proposed Collection; Comment Request2014-01-10T00:00:00-08:002014-01-10T00:00:00-08:002014-00212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-10/pdf/2014-00212.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/10/2014-00211.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That an Extranet Access Fee is Not Charged2014-01-10T00:00:00-08:002014-01-10T00:00:00-08:002014-00211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-10/pdf/2014-00211.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/09/2014-00226.htmlNotice - Environmental Energy Services, Inc., IDI Global, Inc., Inform Worldwide Holdings, Inc., Iptimize, Inc., NGEN, Inc. (a/k/a Nanogen, Inc.), and Patron Systems, Inc.; Order of Suspension of Trading2014-01-09T00:00:00-08:002014-01-09T00:00:00-08:002014-00226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-09/pdf/2014-00226.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/09/2014-00223.htmlNotice - Order of Suspension of Trading; In the Matter of Matech Corp., MNC Corporation (a/k/a Monaco Coach Corporation), Pacific Fuel Cell Corp., and Penn Octane Corporation2014-01-09T00:00:00-08:002014-01-09T00:00:00-08:002014-00223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-09/pdf/2014-00223.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/09/2014-00119.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Order Format 12014-01-09T00:00:00-08:002014-01-09T00:00:00-08:002014-00119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-09/pdf/2014-00119.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/09/2014-00118.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified By Amendments Nos. 1 and 2, To List and Trade Shares of the Market Vectors Short High-Yield Municipal Index ETF Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 January 3, 2014.2014-01-09T00:00:00-08:002014-01-09T00:00:00-08:002014-00118Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-09/pdf/2014-00118.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00075.htmlNotice - 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 Limits2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00075.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00074.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00074.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00073.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Controversial Changes to Its Rules2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00073.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00072.htmlNotice - 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 Schedule2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00072.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00071.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Eliminate the e-DPM Program January 2, 2014.2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00071.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00070.htmlNotice - 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)2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00070.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00069.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Fee Schedule2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00069.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00068.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to a Capacity Management Plan2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00068.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00067.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Market-Maker Appointment Cost Rebalances2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00067Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00067.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00066.htmlNotice - 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 Day2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00066Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00066.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2014-00065.htmlNotice - 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 Day2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002014-00065Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2014-00065.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2013-31426.htmlRule - Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 19342014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002013-31426Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2013-31426.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/08/2013-31425.htmlRule - Removal of Certain References to Credit Ratings Under the Investment Company Act2014-01-08T00:00:00-08:002014-01-08T00:00:00-08:002013-31425Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-08/pdf/2013-31425.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/06/2014-00018.htmlNotice - Sunshine Act Meeting2014-01-06T00:00:00-08:002014-01-06T00:00:00-08:002014-00018Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-06/pdf/2014-00018.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/06/2013-31521.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Fee Schedule of the Depository Trust Company With Respect to Its Underwriting Service2014-01-06T00:00:00-08:002014-01-06T00:00:00-08:002013-31521Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-06/pdf/2013-31521.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/06/2013-31520.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Short Term Option Series Program2014-01-06T00:00:00-08:002014-01-06T00:00:00-08:002013-31520Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-06/pdf/2013-31520.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/06/2013-31519.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program2014-01-06T00:00:00-08:002014-01-06T00:00:00-08:002013-31519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-06/pdf/2013-31519.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/06/2013-31518.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to Its OTC FX Fee Schedule2014-01-06T00:00:00-08:002014-01-06T00:00:00-08:002013-31518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-06/pdf/2013-31518.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/06/2013-31517.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Existing Fees in NASDAQ Rule 70342014-01-06T00:00:00-08:002014-01-06T00:00:00-08:002013-31517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-06/pdf/2013-31517.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/06/2013-31516.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Extranet Access Fee2014-01-06T00:00:00-08:002014-01-06T00:00:00-08:002013-31516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-06/pdf/2013-31516.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/06/2013-31515.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed for Connectivity to the Exchange Under Rule 7015, and To Eliminate Fees Assessed Under Rules 7033 and 70592014-01-06T00:00:00-08:002014-01-06T00:00:00-08:002013-31515Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-06/pdf/2013-31515.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/06/2013-31514.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Extranet Access Fee2014-01-06T00:00:00-08:002014-01-06T00:00:00-08:002013-31514Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-06/pdf/2013-31514.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/03/2013-31421.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck2014-01-03T00:00:00-08:002014-01-03T00:00:00-08:002013-31421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-03/pdf/2013-31421.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/03/2013-31420.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About the Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes2014-01-03T00:00:00-08:002014-01-03T00:00:00-08:002013-31420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-03/pdf/2013-31420.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/02/2013-31372.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of iShares Enhanced International Large-Cap ETF and iShares Enhanced International Small-Cap ETF Under NYSE Arca Equities Rule 8.6002014-01-02T00:00:00-08:002014-01-02T00:00:00-08:002013-31372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-02/pdf/2013-31372.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/02/2013-31371.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Short Term Options Program2014-01-02T00:00:00-08:002014-01-02T00:00:00-08:002013-31371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-02/pdf/2013-31371.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/02/2013-31370.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program2014-01-02T00:00:00-08:002014-01-02T00:00:00-08:002013-31370Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-02/pdf/2013-31370.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/02/2013-31368.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify an Aspect of the Implementation of Rule 4626(b)(3)2014-01-02T00:00:00-08:002014-01-02T00:00:00-08:002013-31368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-02/pdf/2013-31368.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/02/2013-31367.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to List and Trade Shares of the AdvisorShares YieldPro ETF2014-01-02T00:00:00-08:002014-01-02T00:00:00-08:002013-31367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-02/pdf/2013-31367.pdfhttps://regulations.justia.com/regulations/fedreg/2014/01/02/2013-31366.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Supervision2014-01-02T00:00:00-08:002014-01-02T00:00:00-08:002013-31366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-01-02/pdf/2013-31366.pdf