Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/03/28?limit=200&registers=between&mode=atom 2024-04-24T22:16:40-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2014/03/28/C1-2014-06126.html Notice - Submission for OMB Review; Comment Request 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 C1-2014-06126 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/C1-2014-06126.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-07055.html Notice - China Shen Zhou Mining & Resources, Inc., Ideal Financial Solutions, Inc., Smooth Global (China) Holdings, Inc., Weikang Bio-Technology Group Co., Inc., and 1st Pacific Bancorp File No. 500-1 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-07055 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-07055.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06967.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Means of Achieving the Investment Objective Applicable to the db-X Ultra-Short Duration Fund 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06967 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06967.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06966.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Interest Rate Hedged Corporate Bond ETF and iShares Interest Rate Hedged High Yield Bond ETF Under NYSE Arca Equities Rule 8.600 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06966 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06966.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06965.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in EDGX Rule 14.1 Concerning Unlisted Trading Privileges 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06965 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06965.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06896.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in EDGA Rule 14.1 Concerning Unlisted Trading Privileges 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06896 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06896.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06895.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices) 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06895 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06895.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06894.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06894 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06894.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06893.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06893 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06893.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06892.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06892 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06892.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06891.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06891 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06891.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06890.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06890 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06890.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06889.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.44 To Change the Priority of Displayable Odd Lot Interest Within the Recently Approved Retail Liquidity Program 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06889 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06889.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06887.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX BBO Data Feed and a New CBSX Book Depth Data Feed 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06887 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06887.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06886.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain CBOE Real-Time Data Feeds and a New Book Depth Data Feed 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06886 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06886.pdf https://regulations.justia.com/regulations/fedreg/2014/03/28/2014-06885.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain C2 Real-Time Data Feeds and a New Book Depth Data Feed 2014-03-28T00:00:00-07:00 2014-03-28T00:00:00-07:00 2014-06885 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-28/pdf/2014-06885.pdf