Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-04-25T18:26:47-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04435.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed With FINRA Dispute Resolution2014-02-28T00:00:00-08:002014-02-28T00:00:00-08:002014-04435Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04435.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04433.htmlProposed Rule - Re-Opening of Comment Period for Asset-Backed Securities Release2014-02-28T00:00:00-08:002014-02-28T00:00:00-08:002014-04433Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04433.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04391.htmlNotice - Cohen & Steers Capital Management, Inc., et al.; Notice of Application2014-02-28T00:00:00-08:002014-02-28T00:00:00-08:002014-04391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04391.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04390.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to TRACE Reporting and Dissemination of Transactions in Asset-Backed Securities2014-02-28T00:00:00-08:002014-02-28T00:00:00-08:002014-04390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04390.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04389.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund2014-02-28T00:00:00-08:002014-02-28T00:00:00-08:002014-04389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04389.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04388.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify its Fee Schedule2014-02-28T00:00:00-08:002014-02-28T00:00:00-08:002014-04388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04388.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04396.htmlNotice - Sunshine Act Meeting2014-02-27T00:00:00-08:002014-02-27T00:00:00-08:002014-04396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-27/pdf/2014-04396.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04242.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities2014-02-27T00:00:00-08:002014-02-27T00:00:00-08:002014-04242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-27/pdf/2014-04242.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04241.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross2014-02-27T00:00:00-08:002014-02-27T00:00:00-08:002014-04241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-27/pdf/2014-04241.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04240.htmlNotice - Joint Industry Plan; BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Miami International Securities Exchange LLC, 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, NYSE Arca, Inc. and Topaz Exchange, LLC; Order Approving Proposed National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail2014-02-27T00:00:00-08:002014-02-27T00:00:00-08:002014-04240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-27/pdf/2014-04240.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/26/2014-04131.htmlNotice - Proposed Collection; Comment Request2014-02-26T00:00:00-08:002014-02-26T00:00:00-08:002014-04131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-26/pdf/2014-04131.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/26/2014-04130.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and To List and Trade Shares of the ActiveSharesSM2014-02-26T00:00:00-08:002014-02-26T00:00:00-08:002014-04130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-26/pdf/2014-04130.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/26/2014-04129.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of Topaz Exchange, LLC's Constitution, Certificate of Formation, Limited Liability Company Agreement, Rules and Schedule of Fees To Change the Name of the Exchange to ISE Gemini, LLC2014-02-26T00:00:00-08:002014-02-26T00:00:00-08:002014-04129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-26/pdf/2014-04129.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/25/2014-04132.htmlNotice - Sunshine Act Meeting2014-02-25T00:00:00-08:002014-02-25T00:00:00-08:002014-04132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-04132.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03974.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to a Capacity Management Plan2014-02-25T00:00:00-08:002014-02-25T00:00:00-08:002014-03974Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03974.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03973.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Clear New Sovereign Contracts2014-02-25T00:00:00-08:002014-02-25T00:00:00-08:002014-03973Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03973.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03972.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III2014-02-25T00:00:00-08:002014-02-25T00:00:00-08:002014-03972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03972.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03971.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, As Modified by Amendment No. 1, To Provide OCC With Authority in Emergency Circumstances To Waive, Suspend, or Extend the Time for Compliance With Its By-Laws, Rules, Policies and Procedures, or any Other Rules Issued by OCC2014-02-25T00:00:00-08:002014-02-25T00:00:00-08:002014-03971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03971.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03970.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2014-02-25T00:00:00-08:002014-02-25T00:00:00-08:002014-03970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03970.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03969.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee2014-02-25T00:00:00-08:002014-02-25T00:00:00-08:002014-03969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03969.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03993.htmlNotice - In the Matter of Ads in Motion, Inc., Premier Beverage Group Corp., Pulmo BioTech, Inc., TriMedia Entertainment Group, Inc., and Zanett, Inc., Order of Suspension of Trading2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03993.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03992.htmlNotice - In the Matter of Tweeter Home Entertainment Group, Inc. (a/k/a TWTR, Inc.), Ultitek, Ltd., Utix Group, Inc., Velocity Express Corporation, and Vyteris, Inc.; Order of Suspension of Trading2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03992.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03799.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03799.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03798.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03798.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03797.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Risk Management Tool Commonly Known as a “Kill Switch”2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03797.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03796.htmlNotice - RiverNorth Funds, et al.; Notice of Application2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03796.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03787.htmlNotice - Submission for OMB Review; Comment Request2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03787.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03785.htmlNotice - Submission for OMB Review; Comment Request2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03785.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03784.htmlNotice - Submission for OMB Review; Comment Request2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03784.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03783.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Risk Management Tool Commonly Known as a “Kill Switch”2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03783Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03783.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03782.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change Relating to Multi-Class Spread Orders2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03782Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03782.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03781.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Risk Management Tool Commonly Known as a “Kill Switch”2014-02-24T00:00:00-08:002014-02-24T00:00:00-08:002014-03781Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03781.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/21/2014-03822.htmlNotice - Imogo Mobile Technologies Corp.; Order of Suspension of Trading2014-02-21T00:00:00-08:002014-02-21T00:00:00-08:002014-03822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-21/pdf/2014-03822.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/20/2014-03668.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-02-20T00:00:00-08:002014-02-20T00:00:00-08:002014-03668Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-20/pdf/2014-03668.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/20/2014-03667.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options NOM Market Maker Rebates2014-02-20T00:00:00-08:002014-02-20T00:00:00-08:002014-03667Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-20/pdf/2014-03667.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03578.htmlNotice - Proposed Collection; Comment Request2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03578Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03578.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03577.htmlNotice - Submission for OMB Review; Comment Request2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03577Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03577.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03576.htmlNotice - Submission for OMB Review; Comment Request2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03576.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03575.htmlNotice - Order Making Fiscal Year 2014 Annual Adjustments to Transaction Fee Rates2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03575.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03574.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to an Amendment to The Options Clearing Corporation's Unsecured, Committed Credit Agreement2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03574.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03573.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to per Share Estimated Valuations for Unlisted DPP and REIT Securities2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03573.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03572.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend BOX Rule 8050 (Market Maker Quotations) To Modify the Quotation Requirement2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03572.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03571.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding Transaction Fees and Credits2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03571.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03570.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Exchange's By-Laws2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03570.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03569.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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 8.6002014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03569Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03569.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03568.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03568Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03568.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03567.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Optional Anti-Internalization Functionality2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03567Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03567.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03566.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03566Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03566.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03565.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ OMX PSX's Optional Anti-Internalization Functionality2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03565Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03565.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03564.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Broadening Arbitrators' Authority To Make Referrals During an Arbitration Proceeding2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03564Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03564.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03563.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule By Adopting a Market Access and Connectivity Subsidy2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03563Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03563.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03562.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in a Number of Different Ways2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03562Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03562.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03561.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program and NBBO Setter Incentive Program Under Rule 7014, and the Schedule of Fees and Rebates Under Rule 70182014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03561Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03561.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03560.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Monthly Strategy Cap2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03560Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03560.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03559.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03559.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03558.htmlNotice - Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03558.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03557.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing 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 More2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03557Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03557.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03556.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rules, Auditing Standard No. 17, Auditing Supplemental Information Accompanying Audited Financial Statements, and Related Amendments to PCAOB Standards2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03556.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03555.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rules, Standards for Attestation Engagements Related to Broker and Dealer Compliance or Exemption Reports Required by the U.S. Securities and Exchange Commission and Related Amendments to PCAOB Standards2014-02-19T00:00:00-08:002014-02-19T00:00:00-08:002014-03555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03555.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03383.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the AdvisorShares YieldPro ETF of AdvisorShares Trust2014-02-18T00:00:00-08:002014-02-18T00:00:00-08:002014-03383Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03383.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03377.htmlNotice - Acacia Asset Management LLC and Acacia Trust; Notice of Application2014-02-18T00:00:00-08:002014-02-18T00:00:00-08:002014-03377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03377.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03376.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share2014-02-18T00:00:00-08:002014-02-18T00:00:00-08:002014-03376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03376.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03375.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Regarding New Permitted Cover2014-02-18T00:00:00-08:002014-02-18T00:00:00-08:002014-03375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03375.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03374.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Regarding New Permitted Cover2014-02-18T00:00:00-08:002014-02-18T00:00:00-08:002014-03374Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03374.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/14/C1-2014-02834.htmlNotice - Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Revision of the Definition of “Security” To Encompass Security-Based Swaps, and Request for Comment2014-02-14T00:00:00-08:002014-02-14T00:00:00-08:00C1-2014-02834Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/C1-2014-02834.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/14/C1-2014-02766.htmlNotice - KKR Series Trust and Prisma Capital Partners LP; Notice of Application2014-02-14T00:00:00-08:002014-02-14T00:00:00-08:00C1-2014-02766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/C1-2014-02766.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03457.htmlNotice - Sunshine Act Meeting2014-02-14T00:00:00-08:002014-02-14T00:00:00-08:002014-03457Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/2014-03457.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03251.htmlNotice - Emerging Global Advisors, LLC, et al.2014-02-14T00:00:00-08:002014-02-14T00:00:00-08:002014-03251Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/2014-03251.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03250.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 Rebates2014-02-14T00:00:00-08:002014-02-14T00:00:00-08:002014-03250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/2014-03250.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03186.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Fee for Qualification Examination Waiver Requests2014-02-14T00:00:00-08:002014-02-14T00:00:00-08:002014-03186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/2014-03186.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03259.htmlNotice - Centor Energy, Inc.; Order of Suspension of Trading2014-02-13T00:00:00-08:002014-02-13T00:00:00-08:002014-03259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03259.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03182.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a CBOE Stock Exchange Fee for Qualification Examination Waiver Requests2014-02-13T00:00:00-08:002014-02-13T00:00:00-08:002014-03182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03182.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03174.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Fee for Qualification Examination Waiver Requests2014-02-13T00:00:00-08:002014-02-13T00:00:00-08:002014-03174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03174.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03132.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to CBSX Trading Permit Holder Eligibility2014-02-13T00:00:00-08:002014-02-13T00:00:00-08:002014-03132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03132.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03130.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Collateral and Cash Management Fee Changes2014-02-13T00:00:00-08:002014-02-13T00:00:00-08:002014-03130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03130.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03129.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Short Term Option Series Program2014-02-13T00:00:00-08:002014-02-13T00:00:00-08:002014-03129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03129.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03128.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Not Charge the Extranet Access Fee2014-02-13T00:00:00-08:002014-02-13T00:00:00-08:002014-03128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03128.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03127.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Accommodate the Clearing of Physically-Settled Single Stock Futures for Which Delivery Would Occur on the First Business Day After the Maturity Date2014-02-13T00:00:00-08:002014-02-13T00:00:00-08:002014-03127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03127.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03121.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for NASDAQ Basic2014-02-13T00:00:00-08:002014-02-13T00:00:00-08:002014-03121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03121.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03146.htmlNotice - Amogear Inc.; Order of Suspension of Trading2014-02-12T00:00:00-08:002014-02-12T00:00:00-08:002014-03146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03146.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03009.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Rule Governing Directed Orders2014-02-12T00:00:00-08:002014-02-12T00:00:00-08:002014-03009Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03009.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03008.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Add a New Pricing Tier Applicable to Orders That Add Liquidity on the Exchange2014-02-12T00:00:00-08:002014-02-12T00:00:00-08:002014-03008Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03008.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03007.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-02-12T00:00:00-08:002014-02-12T00:00:00-08:002014-03007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03007.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03006.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Order of Accelerated Approval of Proposed Rule Change To Amend the Depository Trust Company Settlement Service Guide To Lower the Amount of the Maximum Net Debit Cap for an Affiliated Family of Participants and Make Other Related Changes2014-02-12T00:00:00-08:002014-02-12T00:00:00-08:002014-03006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03006.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03005.htmlNotice - Self-Regulatory Organizations; BATS Exchange, 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 Adopt Rules To Hold a Volatility Closing Auction2014-02-12T00:00:00-08:002014-02-12T00:00:00-08:002014-03005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03005.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02934.htmlNotice - 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)2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02934.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02933.htmlNotice - The Gabelli Dividend & Income Trust, et al.; Notice of Application2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02933.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02899.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20142014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02899.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02879.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for SPY Options2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02879.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02878.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02878.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02877.htmlNotice - 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 Component2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02877.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02876.htmlNotice - 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 Interest2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02876.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02875.htmlNotice - 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 Interest2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02875.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02874.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE ArcaBook2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02874.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02873.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02873.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02872.htmlNotice - 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 CPs2014-02-11T00:00:00-08:002014-02-11T00:00:00-08:002014-02872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02872.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02880.htmlNotice - Sunshine Act Meeting2014-02-10T00:00:00-08:002014-02-10T00:00:00-08:002014-02880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02880.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02834.htmlNotice - Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection with the Revision of the Definition of “Security” to Encompass Security-Based Swaps, and Request for Comment2014-02-10T00:00:00-08:002014-02-10T00:00:00-08:002014-02834Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02834.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02833.htmlRule - Extension of Exemptions for Security-Based Swaps2014-02-10T00:00:00-08:002014-02-10T00:00:00-08:002014-02833Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02833.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02766.htmlNotice - KKR Series Trust and Prisma Capital Partners LP; Notice of Application2014-02-10T00:00:00-08:002014-02-10T00:00:00-08:002014-02766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02766.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02747.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Eliminate the Tape B Adding Tier and Modify the Tape B Step Up Tier2014-02-10T00:00:00-08:002014-02-10T00:00:00-08:002014-02747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02747.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02746.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Tactical High Yield ETF of First Trust Exchange-Traded Fund IV2014-02-10T00:00:00-08:002014-02-10T00:00:00-08:002014-02746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02746.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02745.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Process2014-02-10T00:00:00-08:002014-02-10T00:00:00-08:002014-02745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02745.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02744.htmlNotice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing of an Advance Notice Concerning the Government Security Division's Inclusion of GCF Repo® Positions in Its Intraday Participant Clearing Fund Requirement Calculation, and Its Hourly Internal Surveillance Cycles2014-02-10T00:00:00-08:002014-02-10T00:00:00-08:002014-02744Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02744.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02620.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the SPDR SSgA Risk Aware ETF; SPDR SSgA Large Cap Risk Aware ETF; and SPDR SSgA Small Cap Risk Aware ETF Under NYSE Arca Equities Rule 8.6002014-02-07T00:00:00-08:002014-02-07T00:00:00-08:002014-02620Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-07/pdf/2014-02620.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02619.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Update the Rules Governing the Alternative Display Facility2014-02-07T00:00:00-08:002014-02-07T00:00:00-08:002014-02619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-07/pdf/2014-02619.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02602.htmlNotice - Elkhorn Securities, LLC and Elkhorn Unit Trust; Notice of Application2014-02-07T00:00:00-08:002014-02-07T00:00:00-08:002014-02602Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-07/pdf/2014-02602.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02601.htmlNotice - Submission for OMB Review; Comment Request2014-02-07T00:00:00-08:002014-02-07T00:00:00-08:002014-02601Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-07/pdf/2014-02601.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02572.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02572.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02561.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To More Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order; Correction2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02561Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02561.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02518.htmlNotice - Draft 2014-2018 Strategic Plan for Securities and Exchange Commission2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02518.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02507.htmlNotice - T. Rowe Price Global Allocation Fund, Inc. et al.; Notice of Application2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02507Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02507.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02506.htmlNotice - NF Investment Corp., et al.; Notice of Application2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02506.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02505.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Language Describing a Newly Adopted Credit Tier Under Rule 70182014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02505Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02505.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02504.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To List and Trade CBOE Short-Term Volatility Index Options2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02504Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02504.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02503.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change Relating to Alternative Display Facility New Entrant2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02503Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02503.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02502.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of AdvisorShares International Gold ETF, AdvisorShares Gartman Gold/Yen ETF, AdvisorShares Gartman Gold/British Pound ETF, and AdvisorShares Gartman Gold/Euro ETF Under NYSE Arca Equities Rule 8.6002014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02502Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02502.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02501.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Discontinue Its Stock Borrow Program2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02501Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02501.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02500.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To (i) Increase the Credit for Agency Cross Trades; (ii) Increase the Fee for Certain Executions at the Close; (iii) Increase the “Tier 1 Adding Credit;” (iv) Increase the Fee for Certain Floor Broker Discretionary e-Quotes; (v) Increase the Credit for Certain Floor Broker Executions That Add Liquidity; (vi) Increase the Credit for Certain Supplemental Liquidity Provider Executions; and (vii) Increase the Fee for Executions in Crossing Session II2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02500.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02499.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Increase the Fee for Executions in New York Stock Exchange Crossing Session II2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02499.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02498.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02498Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02498.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02497.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02497Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02497.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02496.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Clearinghouse Recovery and Wind-Down Rules for Its Futures and Options and Foreign Exchange Product Categories2014-02-06T00:00:00-08:002014-02-06T00:00:00-08:002014-02496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02496.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02600.htmlNotice - Sunshine Act Meeting2014-02-05T00:00:00-08:002014-02-05T00:00:00-08:002014-02600Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02600.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02526.htmlNotice - In the Matter of Able Energy, Inc.; Et al.; Order of Suspension of Trading2014-02-05T00:00:00-08:002014-02-05T00:00:00-08:002014-02526Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02526.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02508.htmlNotice - Sunshine Act Meeting2014-02-05T00:00:00-08:002014-02-05T00:00:00-08:002014-02508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02508.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02383.htmlNotice - J.P. Morgan Exchange-Traded Fund Trust, et al.; Notice of Application2014-02-05T00:00:00-08:002014-02-05T00:00:00-08:002014-02383Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02383.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02382.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC2014-02-05T00:00:00-08:002014-02-05T00:00:00-08:002014-02382Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02382.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02381.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters2014-02-05T00:00:00-08:002014-02-05T00:00:00-08:002014-02381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02381.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02380.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters2014-02-05T00:00:00-08:002014-02-05T00:00:00-08:002014-02380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02380.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02379.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IX of Its Rulebook2014-02-05T00:00:00-08:002014-02-05T00:00:00-08:002014-02379Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02379.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02378.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IX of Its Rulebook2014-02-05T00:00:00-08:002014-02-05T00:00:00-08:002014-02378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02378.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02250.htmlNotice - Proposed Collection; Comment Request2014-02-04T00:00:00-08:002014-02-04T00:00:00-08:002014-02250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02250.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02248.htmlNotice - Proposed Collection; Comment Request2014-02-04T00:00:00-08:002014-02-04T00:00:00-08:002014-02248Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02248.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02247.htmlNotice - Proposed Collection; Comment Request2014-02-04T00:00:00-08:002014-02-04T00:00:00-08:002014-02247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02247.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02246.htmlNotice - Proposed Collection; Comment Request2014-02-04T00:00:00-08:002014-02-04T00:00:00-08:002014-02246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02246.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02245.htmlNotice - Proposed Collection; Comment Request2014-02-04T00:00:00-08:002014-02-04T00:00:00-08:002014-02245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02245.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02244.htmlNotice - Proposed Collection; Comment Request2014-02-04T00:00:00-08:002014-02-04T00:00:00-08:002014-02244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02244.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02243.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange Bulletin2014-02-04T00:00:00-08:002014-02-04T00:00:00-08:002014-02243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02243.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02339.htmlNotice - Sunshine Act Meeting2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02339Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02339.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02251.htmlNotice - Sunshine Act Meeting2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02251Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02251.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02144.htmlNotice - Submission for OMB Review; Comment Request2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02144.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02143.htmlNotice - Submission for OMB Review; Comment Request2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02143.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02142.htmlNotice - The Ohio National Life Insurance Company, et al.; Notice of Application2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02142.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02141.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend its Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02141.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02140.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program To List and Trade P.M.-Settled S&P 500 Index Option Products2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02140.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02139.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02139Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02139.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02138.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change To Make a Non-Material Housekeeping Rule Change So That OCC's Membership Qualifications Accurately Reflect Current Operational Practices2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02138.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02137.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02137.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02136.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Inbound Routing of Options Orders2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02136.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02135.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02135.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02134.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02134.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02133.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02133.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02132.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-02132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02132.pdfhttps://regulations.justia.com/regulations/fedreg/2014/02/03/2014-00271.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments To Conform the Board's Rules and Forms to the Dodd-Frank Act and Make Certain Updates and Clarifications2014-02-03T00:00:00-08:002014-02-03T00:00:00-08:002014-00271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-00271.pdf