Securities and Exchange Commission April 23, 2014 – Federal Register Recent Federal Regulation Documents

Results 1 - 14 of 14
Valley Forge Composite Technologies, Inc.; Order of Suspension of Trading
Document Number: 2014-09314
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09314.html
Elkhorn Securities, LLC and Elkhorn Unit Trust; Notice of Application
Document Number: 2014-09237
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: Applicants request an order that would permit certain series of a unit investment trust (``UIT'') registered under the Act to acquire shares of registered management investment companies and unit investment trusts or series thereof (the ``Funds'') both within and outside the same group of investment companies. Applicants: Elkhorn Securities, LLC (the ``Depositor''), and Elkhorn Unit Trust (the ``Trust'').
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09237.html
Vanguard Admiral Funds, et al.;
Document Number: 2014-09236
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: Applicants request an order that would permit certain registered open-end management investment companies to participate in a joint lending and borrowing facility. Applicants: Vanguard Admiral Funds, Vanguard Bond Index Funds, Vanguard California Tax-Free Funds, Vanguard Charlotte Funds, Vanguard Chester Funds, Vanguard CMT Funds, Vanguard Convertible Securities Fund, Vanguard Explorer Fund, Vanguard Fenway Funds, Vanguard Fixed Income Securities Funds, Vanguard Florida Tax-Free Funds, Vanguard Horizon Funds, Vanguard Index Funds, Vanguard Institutional Index Funds, Vanguard International Equity Index Funds, Vanguard Malvern Funds, Vanguard Massachusetts Tax-Exempt Funds, Vanguard Money Market Reserves, Vanguard Montgomery Funds, Vanguard Morgan Growth Fund, Vanguard Municipal Bond Funds, Vanguard New Jersey Tax-Free Funds, Vanguard New York Tax-Free Funds, Vanguard Ohio Tax-Free Funds, Vanguard Pennsylvania Tax-Free Funds, Vanguard Quantitative Funds, Vanguard Scottsdale Funds, Vanguard Specialized Funds, Vanguard STAR Funds, Vanguard Tax-Managed Funds, Vanguard Trustees' Equity Fund, Vanguard Valley Forge Funds, Vanguard Variable Insurance Funds, Vanguard Wellesley Income Fund, Vanguard Wellington Fund, Vanguard Whitehall Funds, Vanguard Windsor Funds, Vanguard World Fund (each, a ``Trust,'' and collectively, the ``Trusts''), and The Vanguard Group, Inc. (``Vanguard'').
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09236.html
Matthews A Share Selections Fund, LLC, et al.;
Document Number: 2014-09235
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit the Fund to operate as an extended payment fund established to invest in China A shares, to exempt the Fund from the requirement that funds must disclose a concentration policy regarding investments in any industry or group of industries, and to permit the Fund and its Series to sell their limited liability company interests (``Interests'') to, and redeem their Interests from, certain pooled investment vehicles that are managed or subadvised by the Adviser, including the UCITS Funds, the Irish Fund and other entities that may be organized outside the United States (the UCITS Funds, the Irish Fund and such other entities are, collectively, the ``Other Funds'').
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09235.html
UBS AG, et al.;
Document Number: 2014-09212
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09212.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving Proposed Rule Change To Modify Price Protection Provisions for the Execution of Orders
Document Number: 2014-09211
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09211.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY (Orders Defined) To Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order
Document Number: 2014-09210
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09210.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 To Remove the Size Restriction on Contra-Party Participation on a Qualified Contingent Cross Order
Document Number: 2014-09209
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09209.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., the Chicago Board Options Exchange, Incorporated, and C2 Options Exchange, Incorporated
Document Number: 2014-09208
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09208.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its ROOC Routing Option Under EDGX Rule 11.9(b)(2)(n)
Document Number: 2014-09207
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09207.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its ROOC Routing Option Under EDGA Rule 11.9(b)(2)(n)
Document Number: 2014-09206
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09206.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Clarify the Rule Governing the Operation of the Closing Cross in Circumstances Where a Pause Triggered Under the LULD Plan Would Be Triggered After 3:50 p.m. EST
Document Number: 2014-09205
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09205.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Schedule for Implementing the Exchange's Recently Approved Retail Liquidity Program Pursuant to NYSE Arca Equities Rule 7.44
Document Number: 2014-09204
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09204.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)
Document Number: 2014-09203
Type: Notice
Date: 2014-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09203.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.