Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/05/28?limit=200&registers=between&mode=atom 2024-05-04T20:19:08-07:00 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/2014/05/28/2014-12246.html Notice - Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions; Notice of Application 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12246 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12246.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12234.html Notice - Privacy Act of 1974: Systems of Records. 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12234 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12234.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12231.html Notice - Beverly Hills Bancorp Inc.; Notice of Application 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12231 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12231.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12230.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12230 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12230.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12229.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.1 to Shorten the Operating Hours for the Post-Regular Trading Hours Trading Session 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12229 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12229.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12228.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading Shares of Hull Tactical US ETF Under NYSE Arca Equities Rule 8.600 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12228 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12228.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12227.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To List and Trade on the Exchange Options on Shares of the iShares MSCI Mexico Index Fund 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12227 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12227.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12226.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12226 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12226.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12225.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 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12225 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12225.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12224.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change To Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12224 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12224.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12223.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes To Establish an Institutional Liquidity Program on a One-Year Pilot Basis 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12223 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12223.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12222.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1614 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12222 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12222.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12221.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 98 To Adopt a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12221 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12221.pdf https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12220.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 98 To Adopt a Principles-based Approach To Prohibit the Misuse of Material Nonpublic Information and Make Conforming Changes to Other Exchange Rules 2014-05-28T00:00:00-07:00 2014-05-28T00:00:00-07:00 2014-12220 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12220.pdf