Securities and Exchange Commission February 11, 2014 – Federal Register Recent Federal Regulation Documents

Results 1 - 11 of 11
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements)
Document Number: 2014-02934
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02934.html
The Gabelli Dividend & Income Trust, et al.; Notice of Application
Document Number: 2014-02933
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants seek an order to permit Dividend Trust to transfer a segment of its assets to Global Trust, a newly formed, wholly-owned subsidiary that is a registered closed-end investment company, and to distribute the shares of Global Trust common stock to the holders of Dividend Trust's common stock.
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02933.html
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2014
Document Number: 2014-02899
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02899.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for SPY Options
Document Number: 2014-02879
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02879.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule
Document Number: 2014-02878
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02878.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change To Amend Its Rules Regarding Option Orders That Include a Stock Component
Document Number: 2014-02877
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02877.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 To Modify the Manner by Which MPL-ALO Orders Trade When Triggered by Arriving Interest
Document Number: 2014-02876
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02876.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Modify the Manner by Which MPL-ALO Orders Trade When Triggered by Arriving Interest
Document Number: 2014-02875
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02875.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE ArcaBook
Document Number: 2014-02874
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02874.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Document Number: 2014-02873
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02873.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt New NYSE Arca Equities Rule 7.25 To Create a Crowd Participant Program on a Pilot Basis to Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified With the Exchange as CPs
Document Number: 2014-02872
Type: Notice
Date: 2014-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02872.html
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