<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/05/06?registers=between Sat, 04 May 2024 13:23:35 -0700 Sat, 04 May 2024 13:23:35 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/05/06?registers=between Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Proposing To List and Trade Shares of Fidelity® Corporate Bond ETF Managed Shares Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10360.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10360.html Tue, 06 May 2014 00:00:00 -0700 2014-10360 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10360.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of SR-FINRA-2013-046 https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10359.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10359.html Tue, 06 May 2014 00:00:00 -0700 2014-10359 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10359.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of Fidelity Investment Grade Bond ETF; Fidelity Limited Term Bond ETF; and Fidelity Total Bond ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10358.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10358.html Tue, 06 May 2014 00:00:00 -0700 2014-10358 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10358.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10293.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10293.html Tue, 06 May 2014 00:00:00 -0700 2014-10293 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10293.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10292.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10292.html Tue, 06 May 2014 00:00:00 -0700 2014-10292 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10292.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Add New Paragraphs (h) and (i) to Rule 3312, entitled “Clearly Erroneous Transactions” https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10291.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10291.html Tue, 06 May 2014 00:00:00 -0700 2014-10291 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10291.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Add New Paragraphs (h) and (i) to Rule 11890, Entitled “Clearly Erroneous Transactions” https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10290.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10290.html Tue, 06 May 2014 00:00:00 -0700 2014-10290 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10290.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Add New Paragraphs (h) and (i) to Rule 11890, entitled “Clearly Erroneous Transactions” https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10289.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10289.html Tue, 06 May 2014 00:00:00 -0700 2014-10289 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10289.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 128, Entitled “Clearly Erroneous Executions for NYSE Equities” https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10288.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10288.html Tue, 06 May 2014 00:00:00 -0700 2014-10288 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10288.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 128-Equities, Entitled “Clearly Erroneous Executions for Equities” https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10287.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10287.html Tue, 06 May 2014 00:00:00 -0700 2014-10287 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10287.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Adding New Paragraphs (j) and (k) to Rule 7.10, Entitled “Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10286.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10286.html Tue, 06 May 2014 00:00:00 -0700 2014-10286 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10286.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Rule 2128 Relating to Clearly Erroneous Trades https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10285.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10285.html Tue, 06 May 2014 00:00:00 -0700 2014-10285 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10285.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.13, Entitled “Clearly Erroneous Executions” https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10284.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10284.html Tue, 06 May 2014 00:00:00 -0700 2014-10284 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10284.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.13, Entitled “Clearly Erroneous Executions” https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10283.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10283.html Tue, 06 May 2014 00:00:00 -0700 2014-10283 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10283.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change to Amend Exchange Rule 11.19 Entitled “Clearly Erroneous Executions” To Add Provisions Regarding Executions Based on Incorrect or Grossly Misinterpreted Issuance Information and Executions Occurring After a Trading Halt Has Been Declared https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10282.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10282.html Tue, 06 May 2014 00:00:00 -0700 2014-10282 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10282.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.17, Entitled “Clearly Erroneous Executions” https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10281.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10281.html Tue, 06 May 2014 00:00:00 -0700 2014-10281 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10281.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.17, Entitled “Clearly Erroneous Executions” https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10280.html https://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10280.html Tue, 06 May 2014 00:00:00 -0700 2014-10280 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10280.pdf