Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/05/01?limit=200&registers=between&mode=atom 2024-05-03T21:44:26-07:00 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/2014/05/01/2014-09972.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09972 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09972.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09971.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09971 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09971.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09927.html Notice - Steben Select Multi-Strategy Fund and Steben & Company, Inc.; Notice of Application 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09927 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09927.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09926.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09926 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09926.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09925.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance the System That Processes Corporate Actions Within NSCC's Continuous Net Settlement System 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09925 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09925.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09924.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of Schwab Active Short Duration Income ETF; Schwab TargetDuration 2-Month ETF; Schwab TargetDuration 9-Month ETF; and Schwab TargetDuration 12-Month ETF Under NYSEArca Equities Rule 8.600 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09924 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09924.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09923.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 1064 and 1080 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09923 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09923.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09922.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Adopt the Bond Trading License and the Bond Liquidity Provider Programs Pursuant to NYSE Rules 87 and 88 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09922 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09922.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09921.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Adopting Rule 971.1NY for an Electronic Price Improvement Auction for Single-Leg Options Orders 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09921 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09921.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09920.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Institute an Incentive Program for Market Makers for BATS Exchange, Inc. 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09920 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09920.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09919.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of New Rule A-11, on Assessments for Municipal Advisor Professionals 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09919 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09919.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09918.html Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Governing Letters of Guarantee and Letters of Authorization 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09918 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09918.pdf https://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09917.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Governing Letters of Guarantee and Letters of Authorization 2014-05-01T00:00:00-07:00 2014-05-01T00:00:00-07:00 2014-09917 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09917.pdf