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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2020-11-27T21:50:29-08:00 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/2014/03/31/2014-07230.html Notice - In the Matter of Citadel EFT, Inc.; Order of Suspension of Trading 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07230 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07230.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07229.html 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 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07229 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07229.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07226.html Notice - In the Matter of Advanced Cannabis Solutions, Inc.; Order of Suspension of Trading 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07226 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07226.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07190.html 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” 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07190 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07190.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07054.html 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 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07054 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07054.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07045.html Notice - Submission for OMB Review; Comment Request 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07045 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07045.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07044.html Notice - Submission for OMB Review; Comment Request 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07044 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07044.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07043.html Notice - Submission for OMB Review; Comment Request 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07043 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07043.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07042.html 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 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07042 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07042.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07041.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 Clearly Erroneous Policy 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07041 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07041.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07040.html 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” 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07040 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07040.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07039.html 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 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07039 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07039.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07038.html 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 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07038 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07038.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07037.html 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) 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07037 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07037.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07036.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding New Permitted Cover 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07036 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07036.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07035.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding New Permitted Cover 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07035 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07035.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07014.html 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. 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07014 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07014.pdf https://regulations.justia.com/regulations/fedreg/2014/03/31/2014-07013.html 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. 2014-03-31T00:00:00-07:00 2014-03-31T00:00:00-07:00 2014-07013 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-31/pdf/2014-07013.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06764.html Notice - Submission for OMB Review; Comment Request 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06764 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06764.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06763.html Notice - Submission for OMB Review; Comment Request 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06763 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06763.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06762.html Notice - Empowered Funds, LLC and Empowered Funds ETF Trust; Notice of Application 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06762 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06762.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06761.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect the Elimination of a Discount to OCC's Clearing Fee Schedule 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06761 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06761.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06760.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06760 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06760.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06759.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06759 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06759.pdf https://regulations.justia.com/regulations/fedreg/2014/03/27/2014-06758.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To List and Trade CBOE Short-Term Volatility Index Options 2014-03-27T00:00:00-07:00 2014-03-27T00:00:00-07:00 2014-06758 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-27/pdf/2014-06758.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06610.html Notice - Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc.; Notice of Application 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06610 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06610.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06609.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06609 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06609.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06608.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06608 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06608.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06607.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06607 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06607.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06606.html Notice - Proposed Collection; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06606 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06606.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06605.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06605 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06605.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06604.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06604 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06604.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06603.html Notice - Proposed Collection; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06603 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06603.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06602.html Notice - Proposed Collection; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06602 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06602.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06601.html Notice - Submission for OMB Review; Comment Request 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06601 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06601.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06600.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06600 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06600.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06599.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Related to Market Maker Risk Parameters 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06599 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06599.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-06598.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change Related to Market Maker Risk Parameters 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-06598 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-06598.pdf https://regulations.justia.com/regulations/fedreg/2014/03/26/2014-05806.html Proposed Rule - Standards for Covered Clearing Agencies 2014-03-26T00:00:00-07:00 2014-03-26T00:00:00-07:00 2014-05806 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-03-26/pdf/2014-05806.pdf https://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06465.html Notice - PennantPark Investment Corp., et al.; Notice of Application 2014-03-25T00:00:00-07:00 2014-03-25T00:00:00-07:00 2014-06465 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06465.pdf https://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06464.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Administrative and Conforming Changes To Rename the Membership/Risk Committee to Risk Committee, Reflect the Renaming of the Chairman Title to Executive Chairman, and Reflect That Two Management Directors Are on the Board of Directors 2014-03-25T00:00:00-07:00 2014-03-25T00:00:00-07:00 2014-06464 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06464.pdf https://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06463.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program 2014-03-25T00:00:00-07:00 2014-03-25T00:00:00-07:00 2014-06463 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06463.pdf https://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06462.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding the Short-Term Option Series Program 2014-03-25T00:00:00-07:00 2014-03-25T00:00:00-07:00 2014-06462 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06462.pdf https://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06461.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt a New Order Type Called the Mid-Point Discretionary Order 2014-03-25T00:00:00-07:00 2014-03-25T00:00:00-07:00 2014-06461 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06461.pdf https://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06460.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2014-03-25T00:00:00-07:00 2014-03-25T00:00:00-07:00 2014-06460 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06460.pdf https://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06459.html Notice - Self-Regulatory Organizations; Depository Trust Company; Notice of Filing Amendment Nos. 1 and 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities 2014-03-25T00:00:00-07:00 2014-03-25T00:00:00-07:00 2014-06459 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06459.pdf https://regulations.justia.com/regulations/fedreg/2014/03/25/2014-06458.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Appointment Cost for CBOE Volatility Index (VIX) Options 2014-03-25T00:00:00-07:00 2014-03-25T00:00:00-07:00 2014-06458 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-25/pdf/2014-06458.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06523.html Notice - Sunshine Act Meeting 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06523 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06523.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06490.html Notice - Order of Suspension of Trading; In the Matter of Network Dealer Services Holding Corp., NextFit, Inc., Rocky Mountain Minerals, Inc., Titan Technologies, Inc., Trudy Corporation, UAGH, Inc., and Uranium 308 Corp. 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06490 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06490.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06489.html Notice - IVI Communications, Inc., Omnicity Corp., Precision Petroleum Corporation, PSB Group, Inc., Sustainable Power Corp., and Whitehall Jewelers Holdings, Inc. (n/k/a WJ Holdings Liquidating Company); Order of Suspension of Trading 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06489 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06489.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06467.html Notice - Sunshine Act Meeting 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06467 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06467.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06466.html Notice - Sunshine Act Meeting 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06466 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06466.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06336.html Notice - Cybersecurity Roundtable 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06336 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06336.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06306.html Notice - HMS Income Fund, Inc., et al.; Notice of Application 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06306 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06306.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06305.html Notice - Submission for OMB Review; Comment Request 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06305 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06305.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06304.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Certain Funds of the ProShares Trust 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06304 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06304.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06303.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Its Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06303 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06303.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06302.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06302 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06302.pdf https://regulations.justia.com/regulations/fedreg/2014/03/24/2014-06301.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Specify Pricing Applicable To Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program 2014-03-24T00:00:00-07:00 2014-03-24T00:00:00-07:00 2014-06301 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-24/pdf/2014-06301.pdf https://regulations.justia.com/regulations/fedreg/2014/03/21/2014-06187.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation (“NSCC”); Notice of Filing of Proposed Rule Change To Enhance the System That Processes Corporate Actions Within NSCC's Continuous Net Settlement (“CNS”) System 2014-03-21T00:00:00-07:00 2014-03-21T00:00:00-07:00 2014-06187 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-21/pdf/2014-06187.pdf https://regulations.justia.com/regulations/fedreg/2014/03/20/2014-06126.html Notice - Submission for OMB Review; Comment Request 2014-03-20T00:00:00-07:00 2014-03-20T00:00:00-07:00 2014-06126 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-20/pdf/2014-06126.pdf https://regulations.justia.com/regulations/fedreg/2014/03/20/2014-06125.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America Strategic Investments Corporation, Barclays Electronic Commerce Holdings Inc., Citadel Securities LLC, Citigroup Financial Strategies, Inc., Goldman, Sachs & Co., Datek Online Management Corp. and UBS Americas Inc. in Order To Make Certain Technical Changes Within the Aforementioned Agreements 2014-03-20T00:00:00-07:00 2014-03-20T00:00:00-07:00 2014-06125 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-20/pdf/2014-06125.pdf https://regulations.justia.com/regulations/fedreg/2014/03/20/2014-06124.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2014-03-20T00:00:00-07:00 2014-03-20T00:00:00-07:00 2014-06124 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-20/pdf/2014-06124.pdf https://regulations.justia.com/regulations/fedreg/2014/03/20/2014-06123.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. 2014-03-20T00:00:00-07:00 2014-03-20T00:00:00-07:00 2014-06123 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-20/pdf/2014-06123.pdf https://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05988.html 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 Establish Pricing for the Retail Liquidity Program and Make Certain Changes Relating to Open Orders 2014-03-19T00:00:00-07:00 2014-03-19T00:00:00-07:00 2014-05988 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05988.pdf https://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05987.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to a Corporate Action in Which Its Indirect Parent, NYSE Euronext Holdings LLC, Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange, Inc. 2014-03-19T00:00:00-07:00 2014-03-19T00:00:00-07:00 2014-05987 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05987.pdf https://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05986.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6432 2014-03-19T00:00:00-07:00 2014-03-19T00:00:00-07:00 2014-05986 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05986.pdf https://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05985.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change to Adopt Rule 980.F 2014-03-19T00:00:00-07:00 2014-03-19T00:00:00-07:00 2014-05985 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05985.pdf https://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05984.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program, Effective March 1, 2014 2014-03-19T00:00:00-07:00 2014-03-19T00:00:00-07:00 2014-05984 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05984.pdf https://regulations.justia.com/regulations/fedreg/2014/03/19/2014-05983.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program and Multiply Listed Options 2014-03-19T00:00:00-07:00 2014-03-19T00:00:00-07:00 2014-05983 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-19/pdf/2014-05983.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/C1-2014-05179.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Orders 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 C1-2014-05179 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/C1-2014-05179.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/C1-2014-04792.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 C1-2014-04792 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/C1-2014-04792.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-06012.html Notice - Sunshine Act Meeting 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-06012 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-06012.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-06005.html Notice - Petrotech Oil & Gas, Inc.; Order of Suspension of Trading 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-06005 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-06005.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05875.html 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 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05875 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05875.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05874.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05874 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05874.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05873.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05873 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05873.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05861.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the iShares Core Allocation Conservative ETF, iShares Core Allocation Moderate ETF, iShares Core Allocation Moderate Growth ETF, and iShares Core Allocation Growth ETF Under NYSE Arca Equities Rule 8.600 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05861 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05861.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05860.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05860 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05860.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05859.html 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 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05859 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05859.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05858.html 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 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05858 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05858.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05857.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05857 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05857.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05856.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05856 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05856.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05840.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05840 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05840.pdf https://regulations.justia.com/regulations/fedreg/2014/03/18/2014-05839.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule 2014-03-18T00:00:00-07:00 2014-03-18T00:00:00-07:00 2014-05839 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-18/pdf/2014-05839.pdf https://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05755.html Notice - Submission for OMB Review; Comment Request 2014-03-17T00:00:00-07:00 2014-03-17T00:00:00-07:00 2014-05755 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05755.pdf https://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05754.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Changes to the MSRB's Electronic Municipal Market Access System, Real-Time Transaction Reporting System, and Short-Term Obligation Rate Transparency System 2014-03-17T00:00:00-07:00 2014-03-17T00:00:00-07:00 2014-05754 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05754.pdf https://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05753.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List To Modify the Current Adding Credit Tiers and Add a New Adding Credit Tier 2014-03-17T00:00:00-07:00 2014-03-17T00:00:00-07:00 2014-05753 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05753.pdf https://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05752.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Reality Shares Isolated Dividend Growth ETF Under NYSE Arca Equities Rule 8.600 2014-03-17T00:00:00-07:00 2014-03-17T00:00:00-07:00 2014-05752 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05752.pdf https://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05751.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Market Makers To Enter Opening Only Orders in Appointed Options Classes 2014-03-17T00:00:00-07:00 2014-03-17T00:00:00-07:00 2014-05751 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05751.pdf https://regulations.justia.com/regulations/fedreg/2014/03/17/2014-05750.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List and To Make the Fee Changes Operative March 1, 2014 2014-03-17T00:00:00-07:00 2014-03-17T00:00:00-07:00 2014-05750 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-17/pdf/2014-05750.pdf https://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05598.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the Bylaws of the Exchange 2014-03-14T00:00:00-07:00 2014-03-14T00:00:00-07:00 2014-05598 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05598.pdf https://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05597.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2014-03-14T00:00:00-07:00 2014-03-14T00:00:00-07:00 2014-05597 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05597.pdf https://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05596.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Simple Orders Fees For Removing Liquidity 2014-03-14T00:00:00-07:00 2014-03-14T00:00:00-07:00 2014-05596 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05596.pdf https://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05595.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule 2014-03-14T00:00:00-07:00 2014-03-14T00:00:00-07:00 2014-05595 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05595.pdf https://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05594.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt the Bond Trading License and the Bond Liquidity Provider Programs Pursuant to NYSE Rules 87 and 88 2014-03-14T00:00:00-07:00 2014-03-14T00:00:00-07:00 2014-05594 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05594.pdf https://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05593.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rules Changes Regarding Implementation of Rules To Address Third Party Swap Execution Platforms 2014-03-14T00:00:00-07:00 2014-03-14T00:00:00-07:00 2014-05593 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05593.pdf https://regulations.justia.com/regulations/fedreg/2014/03/14/2014-05592.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Related to Complex Orders 2014-03-14T00:00:00-07:00 2014-03-14T00:00:00-07:00 2014-05592 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-14/pdf/2014-05592.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05631.html Notice - George Foreman Enterprises, Inc., MacKay Life Sciences, Inc., Reinsurance Technologies, Ltd. (a/k/a Solution Technology International, Inc.), Tire International Environmental Solutions, Inc., WatchIt Technologies, Inc., Weststar Financial Services Corporation, and WorldSpace, Inc.; Order of Suspension of Trading 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05631 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05631.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05629.html Notice - Newnan Coweta Bancshares, Inc., Proper Power and Energy Inc., uVuMobile, Inc., WGNB Corp., and YouBlast Global, Inc.; Order of Suspension of Trading 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05629 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05629.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05591.html Notice - Sunshine Act Meeting 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05591 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05591.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05463.html Notice - DFA Investment Dimensions Group Inc., et al.; Notice of Application 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05463 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05463.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05462.html Notice - Proposed Collection; Comment Request 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05462 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05462.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05461.html Notice - Proposed Collection; Comment Request 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05461 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05461.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05460.html Notice - Proposed Collection; Comment Request 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05460 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05460.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05459.html Notice - Proposed Collection; Comment Request 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05459 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05459.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05458.html Notice - Submission for OMB Review; Comment Request 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05458 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05458.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05457.html Notice - Submission for OMB Review; Comment Request 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05457 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05457.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05456.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals, and the Proposed Deletion of Interpretive Guidance 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05456 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05456.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05455.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05455 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05455.pdf https://regulations.justia.com/regulations/fedreg/2014/03/13/2014-05453.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Reduce a Fee for Orders Routed to Other Trading Centers 2014-03-13T00:00:00-07:00 2014-03-13T00:00:00-07:00 2014-05453 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-13/pdf/2014-05453.pdf https://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05320.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares 2014-03-12T00:00:00-07:00 2014-03-12T00:00:00-07:00 2014-05320 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05320.pdf https://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05319.html Notice - Submission for OMB Review; Comment Request 2014-03-12T00:00:00-07:00 2014-03-12T00:00:00-07:00 2014-05319 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05319.pdf https://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05318.html Notice - Submission for OMB Review; Comment Request 2014-03-12T00:00:00-07:00 2014-03-12T00:00:00-07:00 2014-05318 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05318.pdf https://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05317.html Notice - Submission for OMB Review; Comment Request 2014-03-12T00:00:00-07:00 2014-03-12T00:00:00-07:00 2014-05317 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05317.pdf https://regulations.justia.com/regulations/fedreg/2014/03/12/2014-05316.html Notice - Submission for OMB Review; Comment Request 2014-03-12T00:00:00-07:00 2014-03-12T00:00:00-07:00 2014-05316 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-12/pdf/2014-05316.pdf https://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05343.html Notice - In the Matter of Suburban Minerals Corp.; Order of Suspension of Trading 2014-03-11T00:00:00-07:00 2014-03-11T00:00:00-07:00 2014-05343 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05343.pdf https://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05342.html Notice - In The Matter Of Global Earth Energy, Inc.; Order of Suspension of Trading 2014-03-11T00:00:00-07:00 2014-03-11T00:00:00-07:00 2014-05342 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05342.pdf https://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05341.html Notice - In the Matter of Broadcast Live Digital Corp.; Order of Suspension of Trading 2014-03-11T00:00:00-07:00 2014-03-11T00:00:00-07:00 2014-05341 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05341.pdf https://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05321.html Notice - Sunshine Act Meeting 2014-03-11T00:00:00-07:00 2014-03-11T00:00:00-07:00 2014-05321 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05321.pdf https://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05179.html Notice - Self-Regulatory Organizations; Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Orders 2014-03-11T00:00:00-07:00 2014-03-11T00:00:00-07:00 2014-05179 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05179.pdf https://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05178.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Modify the BATS Options Opening Process 2014-03-11T00:00:00-07:00 2014-03-11T00:00:00-07:00 2014-05178 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05178.pdf https://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05177.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright Focus Five ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2014-03-11T00:00:00-07:00 2014-03-11T00:00:00-07:00 2014-05177 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05177.pdf https://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05176.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Clerical and Non-Controversial Rule Changes 2014-03-11T00:00:00-07:00 2014-03-11T00:00:00-07:00 2014-05176 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05176.pdf https://regulations.justia.com/regulations/fedreg/2014/03/11/2014-05175.html Notice - Joint Industry Plan; Notice of Filing of the Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., 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, and NYSE Arca, Inc. 2014-03-11T00:00:00-07:00 2014-03-11T00:00:00-07:00 2014-05175 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-11/pdf/2014-05175.pdf https://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05085.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules 2014-03-10T00:00:00-07:00 2014-03-10T00:00:00-07:00 2014-05085 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05085.pdf https://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05071.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment 1, To Amend Its Rules Related to Complex Orders 2014-03-10T00:00:00-07:00 2014-03-10T00:00:00-07:00 2014-05071 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05071.pdf https://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05057.html Rule - Adoption of Updated EDGAR Filer Manual 2014-03-10T00:00:00-07:00 2014-03-10T00:00:00-07:00 2014-05057 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05057.pdf https://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05055.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Comply With Recently Adopted Commodity Futures Trading Commission Requirements for Derivatives Clearing Organizations That Accept Deposits of Futures Customer Funds 2014-03-10T00:00:00-07:00 2014-03-10T00:00:00-07:00 2014-05055 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05055.pdf https://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05032.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to the Listing and Trading of Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600 2014-03-10T00:00:00-07:00 2014-03-10T00:00:00-07:00 2014-05032 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05032.pdf https://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05031.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to Supervision 2014-03-10T00:00:00-07:00 2014-03-10T00:00:00-07:00 2014-05031 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05031.pdf https://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05030.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Adopt a New Pricing Model and Make Other Conforming Changes 2014-03-10T00:00:00-07:00 2014-03-10T00:00:00-07:00 2014-05030 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05030.pdf https://regulations.justia.com/regulations/fedreg/2014/03/10/2014-05029.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change to Adopt the MIAX Price Improvement Mechanism 2014-03-10T00:00:00-07:00 2014-03-10T00:00:00-07:00 2014-05029 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-10/pdf/2014-05029.pdf https://regulations.justia.com/regulations/fedreg/2014/03/07/2014-05084.html Notice - Aventura Equities, Inc.; Order of Suspension of Trading 2014-03-07T00:00:00-08:00 2014-03-07T00:00:00-08:00 2014-05084 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-07/pdf/2014-05084.pdf https://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04927.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2014-03-06T00:00:00-08:00 2014-03-06T00:00:00-08:00 2014-04927 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04927.pdf https://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04926.html Notice - Submission for OMB Review; Comment Request 2014-03-06T00:00:00-08:00 2014-03-06T00:00:00-08:00 2014-04926 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04926.pdf https://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04925.html Notice - Proposed Collection; Comment Request 2014-03-06T00:00:00-08:00 2014-03-06T00:00:00-08:00 2014-04925 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04925.pdf https://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04924.html Notice - Proposed Collection; Comment Request 2014-03-06T00:00:00-08:00 2014-03-06T00:00:00-08:00 2014-04924 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04924.pdf https://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04923.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Provide Members With a Risk Management Tool That Will Enable Members To Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits Are Reached 2014-03-06T00:00:00-08:00 2014-03-06T00:00:00-08:00 2014-04923 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04923.pdf https://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04922.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) 2014-03-06T00:00:00-08:00 2014-03-06T00:00:00-08:00 2014-04922 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04922.pdf https://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04921.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Newfleet Multi-Sector Income ETF 2014-03-06T00:00:00-08:00 2014-03-06T00:00:00-08:00 2014-04921 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04921.pdf https://regulations.justia.com/regulations/fedreg/2014/03/06/2014-04920.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of Proposed Rule Change To Modify Price Protection Provisions for the Execution of Orders 2014-03-06T00:00:00-08:00 2014-03-06T00:00:00-08:00 2014-04920 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-06/pdf/2014-04920.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04800.html Notice - Hatteras Alternative Mutual Funds Trust, et al., Notice of Application 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04800 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04800.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04799.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Amending Its Rules in Order To Clarify the Applicability and Functionality of Certain Order Types on the Exchange 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04799 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04799.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04798.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change Amending Its Rules in Order To Clarify the Applicability and Functionality of Certain Order Types on the Exchange 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04798 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04798.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04797.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Clarify the Classification and Reporting of Certain Securities to FINRA 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04797 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04797.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04796.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning Amendments to the Charters for the Membership/Risk Committee, Audit Committee and Performance Committee of OCC's Board of Directors 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04796 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04796.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04795.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Uniform Branch Office Registration Form (Form BR) 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04795 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04795.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04794.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) To Provide FINRA With General Exemptive Authority 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04794 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04794.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04793.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of Fees for New Optional Means for Clients To Receive BX TotalView ITCH Market Data 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04793 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04793.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04792.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04792 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04792.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04791.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04791 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04791.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04790.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04790 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04790.pdf https://regulations.justia.com/regulations/fedreg/2014/03/05/2014-04789.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending Supplementary Material .20 to NYSE Rule 103 Setting Forth Net Liquid Assets Requirements for Member Organizations That Operate as Designated Market Maker Units 2014-03-05T00:00:00-08:00 2014-03-05T00:00:00-08:00 2014-04789 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-05/pdf/2014-04789.pdf https://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04831.html Notice - Sunshine Act Meeting 2014-03-04T00:00:00-08:00 2014-03-04T00:00:00-08:00 2014-04831 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04831.pdf https://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04815.html Notice - Trilliant Exploration Corp.; Order of Suspension of Trading 2014-03-04T00:00:00-08:00 2014-03-04T00:00:00-08:00 2014-04815 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04815.pdf https://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04684.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund and the ETSpreads IG Short Credit Fund Under NYSE Arca Equities Rule 8.600 2014-03-04T00:00:00-08:00 2014-03-04T00:00:00-08:00 2014-04684 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04684.pdf https://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04683.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow the LSOC With Excess Model for CFTC-Regulated Swaps 2014-03-04T00:00:00-08:00 2014-03-04T00:00:00-08:00 2014-04683 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04683.pdf https://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04682.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of db-X Ultra-Short Duration Fund and db-X Managed Municipal Bond Fund Under NYSE Arca Equities Rule 8.600 2014-03-04T00:00:00-08:00 2014-03-04T00:00:00-08:00 2014-04682 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04682.pdf https://regulations.justia.com/regulations/fedreg/2014/03/04/2014-04681.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination (“RTRS Facility”); Deletion of Rules A-14, on Annual Fee, A-15, on Notification to the Board of Change in Status or Change of Name or Address, and G-40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements Under G-14(b)(v), G-14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G-40, and Adoption of a Single, Consolidated Electronic Registration Form, New Form A-12 2014-03-04T00:00:00-08:00 2014-03-04T00:00:00-08:00 2014-04681 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-04/pdf/2014-04681.pdf https://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04558.html Notice - Proposed Collection; Comment Request 2014-03-03T00:00:00-08:00 2014-03-03T00:00:00-08:00 2014-04558 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04558.pdf https://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04557.html Notice - Proposed Collection; Comment Request 2014-03-03T00:00:00-08:00 2014-03-03T00:00:00-08:00 2014-04557 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04557.pdf https://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04556.html Notice - Submission for OMB Review; Comment Request 2014-03-03T00:00:00-08:00 2014-03-03T00:00:00-08:00 2014-04556 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04556.pdf https://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04555.html Notice - Legg Mason Partners Equity Trust, et al.; Notice of Application 2014-03-03T00:00:00-08:00 2014-03-03T00:00:00-08:00 2014-04555 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04555.pdf https://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04554.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Schedule of Fees 2014-03-03T00:00:00-08:00 2014-03-03T00:00:00-08:00 2014-04554 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04554.pdf https://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04553.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Section 17, Which Are Rules Applicable to Securities Known as Fixed Return Options, To Reflect a Name Change to Binary Return Derivatives, a Change to the Calculation of the Settlement Price, Updating Rule References, Adding New Text for ByRDs Series Available for Trading, Amending the Quoting and Trading Increment Applicable to ByRDs, and Adding a New Paragraph 8 to Rule 975NY(a) and Amending Rule 975NY(b)(1) To Address Obvious Errors in ByRDs 2014-03-03T00:00:00-08:00 2014-03-03T00:00:00-08:00 2014-04553 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04553.pdf https://regulations.justia.com/regulations/fedreg/2014/03/03/2014-04552.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting Proceedings to Determine Whether To Disapprove Proposed Rule Changes To Establish an Institutional Liquidity Program on a One-Year Pilot Basis 2014-03-03T00:00:00-08:00 2014-03-03T00:00:00-08:00 2014-04552 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-03-03/pdf/2014-04552.pdf