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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2020-08-12T03:17:37-07:00 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/2014/04/30/2014-09811.html Notice - Proposed Collection; Comment Request 2014-04-30T00:00:00-07:00 2014-04-30T00:00:00-07:00 2014-09811 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09811.pdf https://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09810.html Notice - Proposed Collection; Comment Request 2014-04-30T00:00:00-07:00 2014-04-30T00:00:00-07:00 2014-09810 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09810.pdf https://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09809.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Footnote 4 of the Exchange's Fee Schedule To Permit Members To Designate Their Retail Orders To Be Identified as Retail on the EDGX Book Feed 2014-04-30T00:00:00-07:00 2014-04-30T00:00:00-07:00 2014-09809 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09809.pdf https://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09808.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Reality Shares Isolated Dividend Growth Index ETF Under NYSE Arca Equities Rule 5.2(j)(3) 2014-04-30T00:00:00-07:00 2014-04-30T00:00:00-07:00 2014-09808 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09808.pdf https://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09807.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 Isolated Dividend Growth Index ETF of the Reality Shares ETF Trust Under Rule 5705 2014-04-30T00:00:00-07:00 2014-04-30T00:00:00-07:00 2014-09807 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09807.pdf https://regulations.justia.com/regulations/fedreg/2014/04/30/2014-09806.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 2014-04-30T00:00:00-07:00 2014-04-30T00:00:00-07:00 2014-09806 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-30/pdf/2014-09806.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09681.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 4758 to Correct a Typographical Error 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09681 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09681.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09680.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the MIAX PRIME Price Improvement Mechanism and the MIAX PRIME Solicitation Mechanism 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09680 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09680.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09679.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment 1 Thereto, to Amend Its Rules Related to Complex Orders 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09679 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09679.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09678.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09678 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09678.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09677.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Complex Orders 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09677 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09677.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09676.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 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09676 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09676.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09675.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 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09675 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09675.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09674.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Reality Shares Isolated Dividend Growth ETF Under NYSE Arca Equities Rule 8.600 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09674 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09674.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09673.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, 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 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09673 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09673.pdf https://regulations.justia.com/regulations/fedreg/2014/04/29/2014-09672.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 26 Examination Program 2014-04-29T00:00:00-07:00 2014-04-29T00:00:00-07:00 2014-09672 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-29/pdf/2014-09672.pdf https://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09744.html Notice - Sunshine Act Meeting 2014-04-28T00:00:00-07:00 2014-04-28T00:00:00-07:00 2014-09744 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09744.pdf https://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09529.html Notice - Submission for OMB Review; Comment Request 2014-04-28T00:00:00-07:00 2014-04-28T00:00:00-07:00 2014-09529 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09529.pdf https://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09528.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of “Third-Party Data” 2014-04-28T00:00:00-07:00 2014-04-28T00:00:00-07:00 2014-09528 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09528.pdf https://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09527.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 343 and Its Interpretation to Harmonize the NYSE's Rules with Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form 2014-04-28T00:00:00-07:00 2014-04-28T00:00:00-07:00 2014-09527 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09527.pdf https://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09526.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT Rule 343-Equities to Harmonize the NYSE MKT's Rules With Changes by Financial Industry Regulatory Authority, Inc. to Amend the Uniform Branch Office Registration Form 2014-04-28T00:00:00-07:00 2014-04-28T00:00:00-07:00 2014-09526 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09526.pdf https://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09525.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change Regarding Adoption of Rule 980.F 2014-04-28T00:00:00-07:00 2014-04-28T00:00:00-07:00 2014-09525 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09525.pdf https://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09524.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 9268, 9559, and 9620 To Conform the Exchange's Rules to Changes Recently Adopted by the Financial Industry Regulatory Authority, Inc. 2014-04-28T00:00:00-07:00 2014-04-28T00:00:00-07:00 2014-09524 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09524.pdf https://regulations.justia.com/regulations/fedreg/2014/04/28/2014-09523.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quoting Obligations 2014-04-28T00:00:00-07:00 2014-04-28T00:00:00-07:00 2014-09523 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-28/pdf/2014-09523.pdf https://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09398.html Notice - Submission for OMB Review; Comment Request 2014-04-25T00:00:00-07:00 2014-04-25T00:00:00-07:00 2014-09398 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09398.pdf https://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09397.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 With Respect to Securities Priced at $1.00 or Greater 2014-04-25T00:00:00-07:00 2014-04-25T00:00:00-07:00 2014-09397 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09397.pdf https://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09396.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 1.1, 7.31, 7.34, 7.35, 7.37 and 7.43 To Update Rules Related to the Exchange's Order Types and Modifiers 2014-04-25T00:00:00-07:00 2014-04-25T00:00:00-07:00 2014-09396 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09396.pdf https://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09395.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Security Futures Risk Disclosure Statement 2014-04-25T00:00:00-07:00 2014-04-25T00:00:00-07:00 2014-09395 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09395.pdf https://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09394.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Interpretive Notice Entitled “NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts” 2014-04-25T00:00:00-07:00 2014-04-25T00:00:00-07:00 2014-09394 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09394.pdf https://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09393.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing PHLX Proprietary Products 2014-04-25T00:00:00-07:00 2014-04-25T00:00:00-07:00 2014-09393 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09393.pdf https://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09392.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing PHLX Proprietary Products 2014-04-25T00:00:00-07:00 2014-04-25T00:00:00-07:00 2014-09392 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09392.pdf https://regulations.justia.com/regulations/fedreg/2014/04/25/2014-09391.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs 2014-04-25T00:00:00-07:00 2014-04-25T00:00:00-07:00 2014-09391 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-25/pdf/2014-09391.pdf https://regulations.justia.com/regulations/fedreg/2014/04/24/2014-09293.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2014-04-24T00:00:00-07:00 2014-04-24T00:00:00-07:00 2014-09293 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-24/pdf/2014-09293.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09314.html Notice - Valley Forge Composite Technologies, Inc.; Order of Suspension of Trading 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09314 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09314.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09237.html Notice - Elkhorn Securities, LLC and Elkhorn Unit Trust; Notice of Application 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09237 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09237.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09236.html Notice - Vanguard Admiral Funds, et al.; 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09236 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09236.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09235.html Notice - Matthews A Share Selections Fund, LLC, et al.; 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09235 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09235.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09212.html Notice - UBS AG, et al.; 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09212 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09212.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09211.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving Proposed Rule Change To Modify Price Protection Provisions for the Execution of Orders 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09211 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09211.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09210.html Notice - 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 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09210 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09210.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09209.html Notice - 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 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09209 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09209.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09208.html Notice - 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 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09208 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09208.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09207.html Notice - 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) 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09207 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09207.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09206.html Notice - 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) 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09206 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09206.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09205.html Notice - 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 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09205 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09205.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09204.html Notice - 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 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09204 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09204.pdf https://regulations.justia.com/regulations/fedreg/2014/04/23/2014-09203.html Notice - 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) 2014-04-23T00:00:00-07:00 2014-04-23T00:00:00-07:00 2014-09203 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-23/pdf/2014-09203.pdf https://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09213.html Notice - Sunshine Act Meeting 2014-04-22T00:00:00-07:00 2014-04-22T00:00:00-07:00 2014-09213 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09213.pdf https://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09080.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of a 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(d)(1) To Address Obvious Errors in ByRDs 2014-04-22T00:00:00-07:00 2014-04-22T00:00:00-07:00 2014-09080 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09080.pdf https://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09079.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or More 2014-04-22T00:00:00-07:00 2014-04-22T00:00:00-07:00 2014-09079 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09079.pdf https://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09078.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Bylaws of the Exchange Relating to the Nomination and Election of the Vice Chairman 2014-04-22T00:00:00-07:00 2014-04-22T00:00:00-07:00 2014-09078 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09078.pdf https://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09077.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7130 (Execution and Price/Time Priority) To Include Public Customer Bid/Ask Volume Information in BOX's Proprietary High Speed Vendor Feed (“HSVF”) 2014-04-22T00:00:00-07:00 2014-04-22T00:00:00-07:00 2014-09077 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09077.pdf https://regulations.justia.com/regulations/fedreg/2014/04/22/2014-09076.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Amend Certain of Its NYSE MKT Equities Rule Series (500 through 525) To Permit Additional Securities To Be Admitted to Dealings on the Exchange Pursuant to a Grant of Unlisted Trading Privileges 2014-04-22T00:00:00-07:00 2014-04-22T00:00:00-07:00 2014-09076 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-22/pdf/2014-09076.pdf https://regulations.justia.com/regulations/fedreg/2014/04/21/2014-08974.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2014-04-21T00:00:00-07:00 2014-04-21T00:00:00-07:00 2014-08974 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-21/pdf/2014-08974.pdf https://regulations.justia.com/regulations/fedreg/2014/04/21/2014-08973.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding Transaction Fees and Credits 2014-04-21T00:00:00-07:00 2014-04-21T00:00:00-07:00 2014-08973 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-21/pdf/2014-08973.pdf https://regulations.justia.com/regulations/fedreg/2014/04/21/2014-08972.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance NSCC's Existing Parametric Value-at-Risk Margining Model 2014-04-21T00:00:00-07:00 2014-04-21T00:00:00-07:00 2014-08972 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-21/pdf/2014-08972.pdf https://regulations.justia.com/regulations/fedreg/2014/04/21/2014-08971.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; Correction 2014-04-21T00:00:00-07:00 2014-04-21T00:00:00-07:00 2014-08971 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-21/pdf/2014-08971.pdf https://regulations.justia.com/regulations/fedreg/2014/04/18/2014-08825.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. 2014-04-18T00:00:00-07:00 2014-04-18T00:00:00-07:00 2014-08825 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-18/pdf/2014-08825.pdf https://regulations.justia.com/regulations/fedreg/2014/04/18/2014-08823.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. 2014-04-18T00:00:00-07:00 2014-04-18T00:00:00-07:00 2014-08823 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-18/pdf/2014-08823.pdf https://regulations.justia.com/regulations/fedreg/2014/04/18/2014-08822.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. 2014-04-18T00:00:00-07:00 2014-04-18T00:00:00-07:00 2014-08822 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-18/pdf/2014-08822.pdf https://regulations.justia.com/regulations/fedreg/2014/04/18/2014-08791.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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 2014-04-18T00:00:00-07:00 2014-04-18T00:00:00-07:00 2014-08791 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-18/pdf/2014-08791.pdf https://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08689.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. 2014-04-17T00:00:00-07:00 2014-04-17T00:00:00-07:00 2014-08689 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08689.pdf https://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08688.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2014-04-17T00:00:00-07:00 2014-04-17T00:00:00-07:00 2014-08688 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08688.pdf https://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08687.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Amex Options Market Data, Operative on April 1, 2014 2014-04-17T00:00:00-07:00 2014-04-17T00:00:00-07:00 2014-08687 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08687.pdf https://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08686.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Professional User Fees for NYSE Arca Options Market Data, Operative on April 1, 2014 2014-04-17T00:00:00-07:00 2014-04-17T00:00:00-07:00 2014-08686 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08686.pdf https://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08685.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .13 to Rule 504 2014-04-17T00:00:00-07:00 2014-04-17T00:00:00-07:00 2014-08685 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08685.pdf https://regulations.justia.com/regulations/fedreg/2014/04/17/2014-08684.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 4120(c)(8) With Respect to Initial Pricing of Certain Securities Not Subject to an Initial Public Offering 2014-04-17T00:00:00-07:00 2014-04-17T00:00:00-07:00 2014-08684 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-17/pdf/2014-08684.pdf https://regulations.justia.com/regulations/fedreg/2014/04/16/2014-08585.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Clarify How Certain Securities Are Classified and Reported to FINRA 2014-04-16T00:00:00-07:00 2014-04-16T00:00:00-07:00 2014-08585 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-16/pdf/2014-08585.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08586.html Notice - Sunshine Act Meeting 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08586 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08586.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08527.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 Incentive Program Under Rule 7014, and the Schedule of Fees and Rebates Under Rule 7018 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08527 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08527.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08526.html Notice - Ivy Funds, et al.; 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08526 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08526.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08422.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change To Clear New Sovereign Contracts 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08422 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08422.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08421.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Establish a Fee Schedule for Alternative Trading System Volume Information 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08421 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08421.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08420.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 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08420 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08420.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08419.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 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08419 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08419.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08418.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08418 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08418.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08417.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 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08417 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08417.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08416.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08416 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08416.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08415.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 Raise the Fee and Fee Cap for Market and Auction-Only Orders Executed in an Opening, Market Order or Trading Halt Auction; Modify the Fees Charges for Routing Orders To The New York Stock Exchange LLC; and Modify Certain Credits in the Basic Rate Pricing 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08415 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08415.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08414.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08414 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08414.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08413.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets and Make Additional, Conforming, Rule Changes 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08413 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08413.pdf https://regulations.justia.com/regulations/fedreg/2014/04/15/2014-08412.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule To Change the Time By Which Purchase Orders and Redemption Orders Must Be Placed With Respect to the Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF 2014-04-15T00:00:00-07:00 2014-04-15T00:00:00-07:00 2014-08412 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-15/pdf/2014-08412.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08475.html Notice - In the Matter of GrowLife, Inc., File No. 500-1; Order of Suspension of Trading 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08475 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08475.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08299.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Emergency and Extraordinary Market Conditions 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08299 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08299.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08287.html Notice - ALPS ETF Trust, et al.; Notice of Application 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08287 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08287.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08286.html Notice - Professionally Managed Portfolios and Balter Liquid Alternatives, LLC; Notice of Application 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08286 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08286.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08285.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08285 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08285.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08284.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08284 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08284.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08283.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08283 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08283.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08282.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 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08282 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08282.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08281.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities Governing Pegging Interest 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08281 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08281.pdf https://regulations.justia.com/regulations/fedreg/2014/04/14/2014-08280.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Governing Pegging Interest 2014-04-14T00:00:00-07:00 2014-04-14T00:00:00-07:00 2014-08280 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-14/pdf/2014-08280.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08131.html Notice - ARK ETF Trust, et al.; Notice of Application 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08131 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08131.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08130.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and To List and Trade Shares of the ActiveShares SM 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08130 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08130.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08129.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of Hull Tactical US ETF Under NYSE Arca Equities Rule 8.600 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08129 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08129.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08128.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Certain Enhancements and Clarifications With Respect to OCC's Indemnification of Its Directors, Officers and Other Personnel 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08128 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08128.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08127.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares Multi-Strategy Alternative Portfolio, a series of PowerShares Actively Managed Exchange-Traded Fund Trust 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08127 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08127.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08126.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Request for Comment and Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Offer a Customer Rebate 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08126 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08126.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08125.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Certain Executions at the Opening 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08125 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08125.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08124.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List for Certain Executions at the Opening 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08124 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08124.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08123.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Clarify the Largest Provisional Net Credit Procedures 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08123 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08123.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08122.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08122 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08122.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08121.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08121 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08121.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08120.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 703A 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08120 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08120.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08119.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Appointment Adjustments 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08119 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08119.pdf https://regulations.justia.com/regulations/fedreg/2014/04/11/2014-08004.html Notice - Submission for OMB Review; Comment Request 2014-04-11T00:00:00-07:00 2014-04-11T00:00:00-07:00 2014-08004 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-11/pdf/2014-08004.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08058.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 Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-08058 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08058.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08057.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Introduce a New Credit for Certain Retail Providing Liquidity on the Exchange 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-08057 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08057.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08005.html Notice - Proposed Collection; Comment Request 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-08005 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08005.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08003.html Notice - Submission for OMB Review; Comment Request 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-08003 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08003.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08002.html Notice - Submission for OMB Review; Comment Request 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-08002 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08002.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08001.html Notice - Proposed Collection; Comment Request 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-08001 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08001.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-08000.html Notice - Submission for OMB Review; Comment Request 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-08000 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-08000.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07999.html Notice - Submission for OMB Review; Comment Request 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-07999 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07999.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07998.html Notice - Submission for OMB Review; Comment Request 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-07998 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07998.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07997.html Notice - Proposed Collection; Comment Request 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-07997 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07997.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07995.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Applicable to Rule 530 Relating to Limit Up/Limit Down 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-07995 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07995.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07994.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the End of Trading on CBSX 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-07994 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07994.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07993.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Managed Data Solution for Non-Display Usage 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-07993 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07993.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07992.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretive Material to BOX Rule 5050 To Replace the Reference To “GOOG” With “GOOGL” 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-07992 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07992.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07991.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rule 24.19 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-07991 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07991.pdf https://regulations.justia.com/regulations/fedreg/2014/04/10/2014-07990.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules 2014-04-10T00:00:00-07:00 2014-04-10T00:00:00-07:00 2014-07990 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-10/pdf/2014-07990.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/04/08/C1-2014-07353.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 To Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order 2014-04-08T00:00:00-07:00 2014-04-08T00:00:00-07:00 C1-2014-07353 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-08/pdf/C1-2014-07353.pdf https://regulations.justia.com/regulations/fedreg/2014/04/08/2014-07766.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 5.5 2014-04-08T00:00:00-07:00 2014-04-08T00:00:00-07:00 2014-07766 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-08/pdf/2014-07766.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07840.html Notice - Sunshine Act Meeting 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07840 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07840.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07656.html Notice - Proposed Collection; Comment Request 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07656 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07656.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07655.html Notice - Proposed Collection; Comment Request 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07655 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07655.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07643.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Change Which Would Authorize the Executive Chairman, the Management Vice Chairman, or the President To Delegate to Other OCC Officers Their Authority To Review and Approve Certain Clearing Member Business Expansion Requests and Changes in Facilities Management Arrangements, Provided That Such Delegate Is an Officer of the Rank of Senior Vice President or Higher 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07643 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07643.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07642.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07642 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07642.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07641.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07641 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07641.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07640.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to Its MXN OTC IRS Clearing Offering 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07640 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07640.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07639.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to CME Rule 281H.02.A. Regarding CME's Cleared OTC U.S. Dollar/Indonesian Rupiah (USD/IDR) Spot, Forwards and Swaps Contracts 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07639 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07639.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07638.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Impose an Extranet Access Fee 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07638 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07638.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07637.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07637 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07637.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07636.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07636 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07636.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07635.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 98-Equities To Adopt a Principles-based Approach To Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07635 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07635.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07634.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 98 To Adopt a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07634 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07634.pdf https://regulations.justia.com/regulations/fedreg/2014/04/07/2014-07633.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program 2014-04-07T00:00:00-07:00 2014-04-07T00:00:00-07:00 2014-07633 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-07/pdf/2014-07633.pdf https://regulations.justia.com/regulations/fedreg/2014/04/04/2014-07686.html Notice - Sunshine Act Meeting 2014-04-04T00:00:00-07:00 2014-04-04T00:00:00-07:00 2014-07686 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-04/pdf/2014-07686.pdf https://regulations.justia.com/regulations/fedreg/2014/04/04/2014-07512.html Notice - MetLife Insurance Company of Connecticut, et al.; Notice of Application 2014-04-04T00:00:00-07:00 2014-04-04T00:00:00-07:00 2014-07512 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-04/pdf/2014-07512.pdf https://regulations.justia.com/regulations/fedreg/2014/04/04/2014-07511.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 623 (“Options Communications”) To Conform With the Rules of the Financial Industry Regulatory Authority Inc. 2014-04-04T00:00:00-07:00 2014-04-04T00:00:00-07:00 2014-07511 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-04/pdf/2014-07511.pdf https://regulations.justia.com/regulations/fedreg/2014/04/03/2014-07523.html Notice - Aclor International, Inc., Acrongenomics, Inc., Diversified Global Holdings Group, Inc., FutureIT, Inc., Southern Star Energy, Inc., and W Holding Co., Inc.; Order of Suspension of Trading 2014-04-03T00:00:00-07:00 2014-04-03T00:00:00-07:00 2014-07523 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-03/pdf/2014-07523.pdf https://regulations.justia.com/regulations/fedreg/2014/04/03/2014-07471.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2014-04-03T00:00:00-07:00 2014-04-03T00:00:00-07:00 2014-07471 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-03/pdf/2014-07471.pdf https://regulations.justia.com/regulations/fedreg/2014/04/03/2014-07470.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions 2014-04-03T00:00:00-07:00 2014-04-03T00:00:00-07:00 2014-07470 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-03/pdf/2014-07470.pdf https://regulations.justia.com/regulations/fedreg/2014/04/03/2014-07424.html Notice - Minnesota Life Insurance Company, et al.; Notice of Application 2014-04-03T00:00:00-07:00 2014-04-03T00:00:00-07:00 2014-07424 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-03/pdf/2014-07424.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07358.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07358 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07358.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07357.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program, Which Currently Is Set To Expire on March 28, 2014, for an Additional Six Months 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07357 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07357.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07356.html Proposed Rule - Extension of Comment Period for Asset-Backed Securities Release 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07356 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07356.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07354.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Extension of FLEX Option No Minimum Value Size Pilot Program 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07354 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07354.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07353.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 To Specifically Address the Number and Size of Contra-Parties To a Qualified Contingent Cross Order 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07353 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07353.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07352.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY To Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07352 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07352.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07346.html Notice - Investor Advisory Committee Meeting 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07346 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07346.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07286.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128, Entitled “Clearly Erroneous Executions For NYSE Equities” 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07286 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07286.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07285.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending a Pilot Program Related to Rule 128-Equities, Entitled “Clearly Erroneous Executions For Equities” 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07285 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07285.pdf https://regulations.justia.com/regulations/fedreg/2014/04/02/2014-07279.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 Disapprove Proposed Rule Change, As Modified by Amendment No. 1, To Clarify the Classification and Reporting of Certain Securities to FINRA 2014-04-02T00:00:00-07:00 2014-04-02T00:00:00-07:00 2014-07279 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-02/pdf/2014-07279.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07281.html Notice - Sunshine Act Meeting 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07281 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07281.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07232.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07232 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07232.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07195.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Trading Ahead of Customer Orders 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07195 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07195.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07194.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 12.6 to Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Trading Ahead of Customer Orders 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07194 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07194.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07193.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Update ICC's Liquidity Thresholds for Euro Denominated Products 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07193 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07193.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07192.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGX Exchange, Inc. 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07192 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07192.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07191.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGA Exchange, Inc. 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07191 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07191.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07189.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2128 Relating to Clearly Erroneous Trades 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07189 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07189.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07188.html Notice - Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s Crowd Participant Program Pilot 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07188 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07188.pdf https://regulations.justia.com/regulations/fedreg/2014/04/01/2014-07187.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New NYSE Arca Equities Rule 7.25 To Create a Crowd Participant Program on a Pilot Basis To Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified With the Exchange as CPs 2014-04-01T00:00:00-07:00 2014-04-01T00:00:00-07:00 2014-07187 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-04-01/pdf/2014-07187.pdf