Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/04/09?limit=200&registers=between&mode=atom 2024-04-16T03:50:11-07:00 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/2014/04/09/2014-07952.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, Until February 20, 2015 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07952 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07952.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07951.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility, Until February 20, 2015 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07951 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07951.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07894.html Notice - FundVantage Trust, et al.; Notice of Application 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07894 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07894.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07893.html Notice - Direxion Shares ETF Trust, et al.; Notice of Application 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07893 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07893.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07892.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07892 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07892.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07891.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07891 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07891.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07890.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Fix Technical Errors 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07890 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07890.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07889.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Enhance the Exchange Audit Trail 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07889 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07889.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07888.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 of Its CBOE Stock Exchange 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07888 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07888.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07887.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.25 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07887 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07887.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07886.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.15 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07886 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07886.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07885.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program That Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07885 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07885.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07884.html Notice - Self-Regulatory Organizations; ISE Gemini 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 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07884 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07884.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07883.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clarifications to Its Chapter 7 Delivery Rules 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07883 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07883.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07882.html Notice - Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB Accounting Support Fee for 2014 Under Section 109 of the Sarbanes-Oxley Act of 2002 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07882 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07882.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07881.html Notice - Joint Industry Plan; Order Approving 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. 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07881 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07881.pdf https://regulations.justia.com/regulations/fedreg/2014/04/09/2014-07869.html Proposed Rule - Investment Company Advertising: Target Date Retirement Fund Names and Marketing 2014-04-09T00:00:00-07:00 2014-04-09T00:00:00-07:00 2014-07869 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-04-09/pdf/2014-07869.pdf