<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/03/31?registers=between Wed, 01 May 2024 18:41:03 -0700 Wed, 01 May 2024 18:41:03 -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/2014/03/31?registers=between Notice - In the Matter of Citadel EFT, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07230.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07230.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07230 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07230.pdf Notice - In the Matter of Hendrx Corp., Plastinum Polymer Technologies Corp., Vertical Branding, Inc., WHY USA Financial Group, Inc., and XNE, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07229.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07229.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07229 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07229.pdf Notice - In the Matter of Advanced Cannabis Solutions, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07226.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07226.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07226 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07226.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Extend a Pilot Program Related to Rule 7.10, Entitled “Clearly Erroneous Executions” https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07190.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07190.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07190 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07190.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/2014/03/31/2014-07054.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07054.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07054 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07054.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07045.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07045.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07045 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07045.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07044.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07044.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07044 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07044.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07043.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07043.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07043 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07043.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Acceptance of a New Series of Credit Default Swap Index Product https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07042.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07042.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07042 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07042.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX Clearly Erroneous Policy https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07041.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07041.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07041 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07041.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Rule 11.19, Titled “Clearly Erroneous Executions” https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07040.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07040.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07040 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07040.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's DOT, DOTI, and LIST Routing Strategies https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07039.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07039.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07039 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07039.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 Program and NBBO Setter Incentive Program Under Rule 7014, and To Modify the Rules Governing Fees Assessed for Orders Executed in the NASDAQ Opening Cross Under Rule 7018 https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07038.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07038.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07038 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07038.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools) https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07037.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07037.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07037 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07037.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding New Permitted Cover https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07036.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07036.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07036 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07036.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding New Permitted Cover https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07035.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07035.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07035 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07035.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07014.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07014.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07014 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07014.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07013.html https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07013.html Mon, 31 Mar 2014 00:00:00 -0700 2014-07013 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07013.pdf