<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/02?registers=between&min-day=1&max-day=28 Thu, 02 May 2024 03:33:00 -0700 Thu, 02 May 2024 03:33:00 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/02?registers=between&min-day=1&max-day=28 Notice - 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 Resolution https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04435.html https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04435.html Fri, 28 Feb 2014 00:00:00 -0800 2014-04435 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04435.pdf Proposed Rule - Re-Opening of Comment Period for Asset-Backed Securities Release https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04433.html https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04433.html Fri, 28 Feb 2014 00:00:00 -0800 2014-04433 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04433.pdf Notice - Cohen & Steers Capital Management, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04391.html https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04391.html Fri, 28 Feb 2014 00:00:00 -0800 2014-04391 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04391.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04390.html https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04390.html Fri, 28 Feb 2014 00:00:00 -0800 2014-04390 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04390.pdf Notice - 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 Fund https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04389.html https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04389.html Fri, 28 Feb 2014 00:00:00 -0800 2014-04389 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04389.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify its Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04388.html https://regulations.justia.com/regulations/fedreg/2014/02/28/2014-04388.html Fri, 28 Feb 2014 00:00:00 -0800 2014-04388 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-28/pdf/2014-04388.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04396.html https://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04396.html Thu, 27 Feb 2014 00:00:00 -0800 2014-04396 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-27/pdf/2014-04396.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04242.html https://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04242.html Thu, 27 Feb 2014 00:00:00 -0800 2014-04242 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-27/pdf/2014-04242.pdf Notice - 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 Cross https://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04241.html https://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04241.html Thu, 27 Feb 2014 00:00:00 -0800 2014-04241 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-27/pdf/2014-04241.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04240.html https://regulations.justia.com/regulations/fedreg/2014/02/27/2014-04240.html Thu, 27 Feb 2014 00:00:00 -0800 2014-04240 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-27/pdf/2014-04240.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/26/2014-04131.html https://regulations.justia.com/regulations/fedreg/2014/02/26/2014-04131.html Wed, 26 Feb 2014 00:00:00 -0800 2014-04131 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-26/pdf/2014-04131.pdf Notice - 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 ActiveSharesSM https://regulations.justia.com/regulations/fedreg/2014/02/26/2014-04130.html https://regulations.justia.com/regulations/fedreg/2014/02/26/2014-04130.html Wed, 26 Feb 2014 00:00:00 -0800 2014-04130 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-26/pdf/2014-04130.pdf Notice - 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, LLC https://regulations.justia.com/regulations/fedreg/2014/02/26/2014-04129.html https://regulations.justia.com/regulations/fedreg/2014/02/26/2014-04129.html Wed, 26 Feb 2014 00:00:00 -0800 2014-04129 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-26/pdf/2014-04129.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-04132.html https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-04132.html Tue, 25 Feb 2014 00:00:00 -0800 2014-04132 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-04132.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to a Capacity Management Plan https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03974.html https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03974.html Tue, 25 Feb 2014 00:00:00 -0800 2014-03974 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03974.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Clear New Sovereign Contracts https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03973.html https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03973.html Tue, 25 Feb 2014 00:00:00 -0800 2014-03973 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03973.pdf Notice - 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 III https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03972.html https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03972.html Tue, 25 Feb 2014 00:00:00 -0800 2014-03972 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03972.pdf Notice - 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 OCC https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03971.html https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03971.html Tue, 25 Feb 2014 00:00:00 -0800 2014-03971 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03971.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03970.html https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03970.html Tue, 25 Feb 2014 00:00:00 -0800 2014-03970 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03970.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03969.html https://regulations.justia.com/regulations/fedreg/2014/02/25/2014-03969.html Tue, 25 Feb 2014 00:00:00 -0800 2014-03969 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-25/pdf/2014-03969.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03993.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03993.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03993 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03993.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03992.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03992.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03992 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03992.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03799.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03799.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03799 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03799.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03798.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03798.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03798 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03798.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03797.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03797.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03797 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03797.pdf Notice - RiverNorth Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03796.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03796.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03796 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03796.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03787.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03787.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03787 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03787.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03785.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03785.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03785 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03785.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03784.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03784.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03784 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03784.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03783.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03783.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03783 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03783.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change Relating to Multi-Class Spread Orders https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03782.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03782.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03782 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03782.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03781.html https://regulations.justia.com/regulations/fedreg/2014/02/24/2014-03781.html Mon, 24 Feb 2014 00:00:00 -0800 2014-03781 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-24/pdf/2014-03781.pdf Notice - Imogo Mobile Technologies Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/02/21/2014-03822.html https://regulations.justia.com/regulations/fedreg/2014/02/21/2014-03822.html Fri, 21 Feb 2014 00:00:00 -0800 2014-03822 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-21/pdf/2014-03822.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/02/20/2014-03668.html https://regulations.justia.com/regulations/fedreg/2014/02/20/2014-03668.html Thu, 20 Feb 2014 00:00:00 -0800 2014-03668 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-20/pdf/2014-03668.pdf Notice - 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 Rebates https://regulations.justia.com/regulations/fedreg/2014/02/20/2014-03667.html https://regulations.justia.com/regulations/fedreg/2014/02/20/2014-03667.html Thu, 20 Feb 2014 00:00:00 -0800 2014-03667 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-20/pdf/2014-03667.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03578.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03578.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03578 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03578.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03577.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03577.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03577 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03577.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03576.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03576.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03576 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03576.pdf Notice - Order Making Fiscal Year 2014 Annual Adjustments to Transaction Fee Rates https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03575.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03575.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03575 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03575.pdf Notice - 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 Agreement https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03574.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03574.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03574 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03574.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03573.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03573.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03573 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03573.pdf Notice - 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 Requirement https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03572.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03572.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03572 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03572.pdf Notice - 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 Credits https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03571.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03571.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03571 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03571.pdf Notice - 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-Laws https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03570.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03570.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03570 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03570.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03569.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03569.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03569 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03569.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03568.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03568.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03568 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03568.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Optional Anti-Internalization Functionality https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03567.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03567.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03567 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03567.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03566.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03566.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03566 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03566.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03565.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03565.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03565 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03565.pdf Notice - 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 Proceeding https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03564.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03564.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03564 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03564.pdf Notice - 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 Subsidy https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03563.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03563.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03563 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03563.pdf Notice - 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 Ways https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03562.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03562.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03562 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03562.pdf Notice - 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 7018 https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03561.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03561.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03561 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03561.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Monthly Strategy Cap https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03560.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03560.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03560 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03560.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03559.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03559.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03559 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03559.pdf Notice - Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03558.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03558.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03558 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03558.pdf Notice - 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 More https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03557.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03557.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03557 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03557.pdf Notice - 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 Standards https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03556.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03556.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03556 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03556.pdf Notice - 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 Standards https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03555.html https://regulations.justia.com/regulations/fedreg/2014/02/19/2014-03555.html Wed, 19 Feb 2014 00:00:00 -0800 2014-03555 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-19/pdf/2014-03555.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03383.html https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03383.html Tue, 18 Feb 2014 00:00:00 -0800 2014-03383 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03383.pdf Notice - Acacia Asset Management LLC and Acacia Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03377.html https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03377.html Tue, 18 Feb 2014 00:00:00 -0800 2014-03377 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03377.pdf Notice - 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 Share https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03376.html https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03376.html Tue, 18 Feb 2014 00:00:00 -0800 2014-03376 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03376.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Regarding New Permitted Cover https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03375.html https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03375.html Tue, 18 Feb 2014 00:00:00 -0800 2014-03375 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03375.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Regarding New Permitted Cover https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03374.html https://regulations.justia.com/regulations/fedreg/2014/02/18/2014-03374.html Tue, 18 Feb 2014 00:00:00 -0800 2014-03374 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-18/pdf/2014-03374.pdf Notice - 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 Comment https://regulations.justia.com/regulations/fedreg/2014/02/14/C1-2014-02834.html https://regulations.justia.com/regulations/fedreg/2014/02/14/C1-2014-02834.html Fri, 14 Feb 2014 00:00:00 -0800 C1-2014-02834 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/C1-2014-02834.pdf Notice - KKR Series Trust and Prisma Capital Partners LP; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/14/C1-2014-02766.html https://regulations.justia.com/regulations/fedreg/2014/02/14/C1-2014-02766.html Fri, 14 Feb 2014 00:00:00 -0800 C1-2014-02766 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/C1-2014-02766.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03457.html https://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03457.html Fri, 14 Feb 2014 00:00:00 -0800 2014-03457 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/2014-03457.pdf Notice - Emerging Global Advisors, LLC, et al. https://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03251.html https://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03251.html Fri, 14 Feb 2014 00:00:00 -0800 2014-03251 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/2014-03251.pdf Notice - 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 Rebates https://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03250.html https://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03250.html Fri, 14 Feb 2014 00:00:00 -0800 2014-03250 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/2014-03250.pdf Notice - 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 Requests https://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03186.html https://regulations.justia.com/regulations/fedreg/2014/02/14/2014-03186.html Fri, 14 Feb 2014 00:00:00 -0800 2014-03186 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-14/pdf/2014-03186.pdf Notice - Centor Energy, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03259.html https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03259.html Thu, 13 Feb 2014 00:00:00 -0800 2014-03259 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03259.pdf Notice - 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 Requests https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03182.html https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03182.html Thu, 13 Feb 2014 00:00:00 -0800 2014-03182 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03182.pdf Notice - 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 Requests https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03174.html https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03174.html Thu, 13 Feb 2014 00:00:00 -0800 2014-03174 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03174.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to CBSX Trading Permit Holder Eligibility https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03132.html https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03132.html Thu, 13 Feb 2014 00:00:00 -0800 2014-03132 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03132.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Collateral and Cash Management Fee Changes https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03130.html https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03130.html Thu, 13 Feb 2014 00:00:00 -0800 2014-03130 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03130.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03129.html https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03129.html Thu, 13 Feb 2014 00:00:00 -0800 2014-03129 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03129.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Not Charge the Extranet Access Fee https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03128.html https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03128.html Thu, 13 Feb 2014 00:00:00 -0800 2014-03128 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03128.pdf Notice - 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 Date https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03127.html https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03127.html Thu, 13 Feb 2014 00:00:00 -0800 2014-03127 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03127.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for NASDAQ Basic https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03121.html https://regulations.justia.com/regulations/fedreg/2014/02/13/2014-03121.html Thu, 13 Feb 2014 00:00:00 -0800 2014-03121 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-13/pdf/2014-03121.pdf Notice - Amogear Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03146.html https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03146.html Wed, 12 Feb 2014 00:00:00 -0800 2014-03146 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03146.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03009.html https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03009.html Wed, 12 Feb 2014 00:00:00 -0800 2014-03009 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03009.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03008.html https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03008.html Wed, 12 Feb 2014 00:00:00 -0800 2014-03008 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03008.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03007.html https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03007.html Wed, 12 Feb 2014 00:00:00 -0800 2014-03007 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03007.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03006.html https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03006.html Wed, 12 Feb 2014 00:00:00 -0800 2014-03006 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03006.pdf Notice - 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 Auction https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03005.html https://regulations.justia.com/regulations/fedreg/2014/02/12/2014-03005.html Wed, 12 Feb 2014 00:00:00 -0800 2014-03005 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-12/pdf/2014-03005.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02934.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02934.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02934 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02934.pdf Notice - The Gabelli Dividend & Income Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02933.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02933.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02933 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02933.pdf Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2014 https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02899.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02899.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02899 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02899.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for SPY Options https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02879.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02879.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02879 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02879.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02878.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02878.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02878 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02878.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02877.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02877.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02877 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02877.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02876.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02876.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02876 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02876.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02875.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02875.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02875 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02875.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE ArcaBook https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02874.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02874.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02874 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02874.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02873.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02873.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02873 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02873.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02872.html https://regulations.justia.com/regulations/fedreg/2014/02/11/2014-02872.html Tue, 11 Feb 2014 00:00:00 -0800 2014-02872 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-11/pdf/2014-02872.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02880.html https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02880.html Mon, 10 Feb 2014 00:00:00 -0800 2014-02880 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02880.pdf Notice - 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 Comment https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02834.html https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02834.html Mon, 10 Feb 2014 00:00:00 -0800 2014-02834 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02834.pdf Rule - Extension of Exemptions for Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02833.html https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02833.html Mon, 10 Feb 2014 00:00:00 -0800 2014-02833 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02833.pdf Notice - KKR Series Trust and Prisma Capital Partners LP; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02766.html https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02766.html Mon, 10 Feb 2014 00:00:00 -0800 2014-02766 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02766.pdf Notice - 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 Tier https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02747.html https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02747.html Mon, 10 Feb 2014 00:00:00 -0800 2014-02747 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02747.pdf Notice - 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 IV https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02746.html https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02746.html Mon, 10 Feb 2014 00:00:00 -0800 2014-02746 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02746.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Process https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02745.html https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02745.html Mon, 10 Feb 2014 00:00:00 -0800 2014-02745 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02745.pdf Notice - 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 Cycles https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02744.html https://regulations.justia.com/regulations/fedreg/2014/02/10/2014-02744.html Mon, 10 Feb 2014 00:00:00 -0800 2014-02744 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-10/pdf/2014-02744.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02620.html https://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02620.html Fri, 07 Feb 2014 00:00:00 -0800 2014-02620 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-07/pdf/2014-02620.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Update the Rules Governing the Alternative Display Facility https://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02619.html https://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02619.html Fri, 07 Feb 2014 00:00:00 -0800 2014-02619 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-07/pdf/2014-02619.pdf Notice - Elkhorn Securities, LLC and Elkhorn Unit Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02602.html https://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02602.html Fri, 07 Feb 2014 00:00:00 -0800 2014-02602 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-07/pdf/2014-02602.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02601.html https://regulations.justia.com/regulations/fedreg/2014/02/07/2014-02601.html Fri, 07 Feb 2014 00:00:00 -0800 2014-02601 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-07/pdf/2014-02601.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02572.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02572.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02572 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02572.pdf Notice - 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; Correction https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02561.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02561.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02561 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02561.pdf Notice - Draft 2014-2018 Strategic Plan for Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02518.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02518.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02518 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02518.pdf Notice - T. Rowe Price Global Allocation Fund, Inc. et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02507.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02507.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02507 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02507.pdf Notice - NF Investment Corp., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02506.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02506.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02506 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02506.pdf Notice - 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 7018 https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02505.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02505.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02505 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02505.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To List and Trade CBOE Short-Term Volatility Index Options https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02504.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02504.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02504 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02504.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change Relating to Alternative Display Facility New Entrant https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02503.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02503.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02503 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02503.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02502.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02502.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02502 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02502.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Discontinue Its Stock Borrow Program https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02501.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02501.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02501 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02501.pdf Notice - 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 II https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02500.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02500.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02500 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02500.pdf Notice - 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 II https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02499.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02499.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02499 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02499.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02498.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02498.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02498 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02498.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02497.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02497.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02497 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02497.pdf Notice - 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 Categories https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02496.html https://regulations.justia.com/regulations/fedreg/2014/02/06/2014-02496.html Thu, 06 Feb 2014 00:00:00 -0800 2014-02496 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-06/pdf/2014-02496.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02600.html https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02600.html Wed, 05 Feb 2014 00:00:00 -0800 2014-02600 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02600.pdf Notice - In the Matter of Able Energy, Inc.; Et al.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02526.html https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02526.html Wed, 05 Feb 2014 00:00:00 -0800 2014-02526 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02526.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02508.html https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02508.html Wed, 05 Feb 2014 00:00:00 -0800 2014-02508 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02508.pdf Notice - J.P. Morgan Exchange-Traded Fund Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02383.html https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02383.html Wed, 05 Feb 2014 00:00:00 -0800 2014-02383 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02383.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02382.html https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02382.html Wed, 05 Feb 2014 00:00:00 -0800 2014-02382 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02382.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02381.html https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02381.html Wed, 05 Feb 2014 00:00:00 -0800 2014-02381 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02381.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02380.html https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02380.html Wed, 05 Feb 2014 00:00:00 -0800 2014-02380 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02380.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IX of Its Rulebook https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02379.html https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02379.html Wed, 05 Feb 2014 00:00:00 -0800 2014-02379 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02379.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IX of Its Rulebook https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02378.html https://regulations.justia.com/regulations/fedreg/2014/02/05/2014-02378.html Wed, 05 Feb 2014 00:00:00 -0800 2014-02378 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-05/pdf/2014-02378.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02250.html https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02250.html Tue, 04 Feb 2014 00:00:00 -0800 2014-02250 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02250.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02248.html https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02248.html Tue, 04 Feb 2014 00:00:00 -0800 2014-02248 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02248.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02247.html https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02247.html Tue, 04 Feb 2014 00:00:00 -0800 2014-02247 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02247.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02246.html https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02246.html Tue, 04 Feb 2014 00:00:00 -0800 2014-02246 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02246.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02245.html https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02245.html Tue, 04 Feb 2014 00:00:00 -0800 2014-02245 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02245.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02244.html https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02244.html Tue, 04 Feb 2014 00:00:00 -0800 2014-02244 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02244.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange Bulletin https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02243.html https://regulations.justia.com/regulations/fedreg/2014/02/04/2014-02243.html Tue, 04 Feb 2014 00:00:00 -0800 2014-02243 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-04/pdf/2014-02243.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02339.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02339.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02339 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02339.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02251.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02251.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02251 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02251.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02144.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02144.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02144 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02144.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02143.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02143.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02143 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02143.pdf Notice - The Ohio National Life Insurance Company, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02142.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02142.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02142 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02142.pdf Notice - 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 Outcry https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02141.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02141.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02141 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02141.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02140.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02140.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02140 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02140.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02139.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02139.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02139 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02139.pdf Notice - 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 Practices https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02138.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02138.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02138 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02138.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02137.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02137.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02137 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02137.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Inbound Routing of Options Orders https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02136.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02136.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02136 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02136.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02135.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02135.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02135 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02135.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02134.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02134.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02134 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02134.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02133.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02133.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02133 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02133.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02132.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-02132.html Mon, 03 Feb 2014 00:00:00 -0800 2014-02132 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-02132.pdf Notice - 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 Clarifications https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-00271.html https://regulations.justia.com/regulations/fedreg/2014/02/03/2014-00271.html Mon, 03 Feb 2014 00:00:00 -0800 2014-00271 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-02-03/pdf/2014-00271.pdf