Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-25T04:26:48-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12669.htmlNotice - In the Matter of Asia Global Holdings Corp., Ikona Gear International, Inc., Imagin Molecular Corp. (n/k/a The Planet Bottle Corporation), Sungold International Holdings Corp., and Westergaard.com, Inc., Order of Suspension of Trading File No. 500-12014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12669.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12527.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Modify the Order Execution Algorithm of NASDAQ OMX PSX2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12527Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12527.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12526.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12526Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12526.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12525.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12525Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12525.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12524.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12524Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12524.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12523.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12523.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12522.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12522Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12522.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12521.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market 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 List and Trade Shares of the PowerShares Multi-Strategy Alternative Portfolio of PowerShares Actively Managed Exchange-Traded Fund Trust2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12521Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12521.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12520.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change to Suspend Competitive Trading of EFPs2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12520Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12520.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12519.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12519.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12518.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2014-05-30T00:00:00-07:002014-05-30T00:00:00-07:002014-12518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12518.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12433.htmlNotice - Pro-Tech Industries, Inc., Vida Life International Ltd., Vitavea, Inc., Western Power & Equipment Corp., and Westmont Resources, Inc.; Order of Suspension of Trading2014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12433.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12432.htmlNotice - In the Matter of OCTuS, Inc., Pacific Coast National Bancorp, Travelstar, Inc., We Save Homes, Inc., and ZVUE Corp., Order of Suspension of Trading2014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12432Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12432.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12431.htmlNotice - Fortitude Group, Inc.; Order of Suspension of Trading2014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12431.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12426.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Enhance the Exchange's Audit Trail2014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12426.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12425.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Accounts2014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12425.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12424.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5032014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12424.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12423.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Requirements Pertaining to Sponsored Access Under Rules 11.9 and 11.172014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12423.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12422.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Nasdaq Opening Cross Contingency2014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12422.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12421.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Delete From Section IX of the Exchange's Options Fee Schedule the PHOTO Historical Data Product2014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12421.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12420.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation2014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12420.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12419.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service2014-05-29T00:00:00-07:002014-05-29T00:00:00-07:002014-12419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12419.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12246.htmlNotice - Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions; Notice of Application2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12246.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12234.htmlNotice - Privacy Act of 1974: Systems of Records.2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12234Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12234.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12231.htmlNotice - Beverly Hills Bancorp Inc.; Notice of Application2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12231Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12231.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12230.htmlNotice - 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 Fund2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12230Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12230.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12229.htmlNotice - 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 Session2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12229Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12229.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12228.htmlNotice - 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 8.6002014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12228Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12228.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12227.htmlNotice - 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 Fund2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12227Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12227.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12226.htmlNotice - 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 Rulebook2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12226.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12225.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12225.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12224.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change To Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12224.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12223.htmlNotice - 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 Basis2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12223.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12222.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 16142014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12222.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12221.htmlNotice - 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 Rules2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12221Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12221.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12220.htmlNotice - 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 Rules2014-05-28T00:00:00-07:002014-05-28T00:00:00-07:002014-12220Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12220.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12310.htmlNotice - Sunshine Act Meeting.2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12310Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12310.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12255.htmlNotice - International Development and Environmental Holdings; Order of Suspension of Trading2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12255Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12255.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12248.htmlNotice - Angel Acquisition Corp. n/k/a Biogeron, Inc.;Order of Suspension of Trading2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12248Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12248.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12247.htmlNotice - First Power & Light, Inc.,: n/k/a Volt Solar Systems, Inc; Order of Suspension of Trading2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12247.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12076.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Trading Space Allocation Procedures2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12076.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12075.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Broadening Arbitrators' Authority to Make Referrals During an Arbitration Proceeding2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12075.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12074.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Regulatory Cooperation2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12074.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12073.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY to Provide for New Procedures To Account for Erroneous Trades Occurring From Disruptions and/or Malfunctions of Exchange Systems2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12073.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12072.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to per Share Estimated Valuations for Unlisted DPP and REIT Securities2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12072.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12071.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Exchange Rule 6.72 in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 20142014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12071.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12070.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of “Reporting Member” in the Order Audit Trail System Rules2014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12070.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12069.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 20142014-05-27T00:00:00-07:002014-05-27T00:00:00-07:002014-12069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12069.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/23/2014-12111.htmlNotice - China Green Lighting Limited, China Kangtai Cactus Bio-Tech, Inc., Gemco Minerals, Inc., Perfectenergy International Limited, and Rodobo International, Inc.; Order of Suspension of Trading2014-05-23T00:00:00-07:002014-05-23T00:00:00-07:002014-12111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-23/pdf/2014-12111.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/23/2014-11965.htmlNotice - Capitala Finance Corp., et al.;2014-05-23T00:00:00-07:002014-05-23T00:00:00-07:002014-11965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-23/pdf/2014-11965.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/23/2014-11964.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Request To Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF Repo® Service2014-05-23T00:00:00-07:002014-05-23T00:00:00-07:002014-11964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-23/pdf/2014-11964.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/23/2014-11929.htmlNotice - Credit Suisse Asset Management, LLC, et al.; Notice of Application and Temporary Order2014-05-23T00:00:00-07:002014-05-23T00:00:00-07:002014-11929Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-23/pdf/2014-11929.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/22/R1-2014-05806.htmlProposed Rule - Standards for Covered Clearing Agencies2014-05-22T00:00:00-07:002014-05-22T00:00:00-07:00R1-2014-05806Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-22/pdf/R1-2014-05806.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/22/2014-11831.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the following Under NYSE Arca Equities Rule 8.600: PIMCO Foreign Bond Exchange-Traded Fund (U.S. Dollar-Hedged), PIMCO Foreign Bond Exchange-Traded Fund (Unhedged), PIMCO Global Advantage Bond Exchange-Traded Fund, and PIMCO International Advantage Bond Exchange-Traded Fund2014-05-22T00:00:00-07:002014-05-22T00:00:00-07:002014-11831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-22/pdf/2014-11831.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/21/2014-11839.htmlNotice - Andalusian Resorts and Spas, Inc.; Order of Suspension of Trading2014-05-21T00:00:00-07:002014-05-21T00:00:00-07:002014-11839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-21/pdf/2014-11839.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/21/2014-11740.htmlNotice - 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 First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV2014-05-21T00:00:00-07:002014-05-21T00:00:00-07:002014-11740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-21/pdf/2014-11740.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/21/2014-11724.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of the PIMCO Income Exchange-Traded Fund Under NYSE Arca Equities Rule 8.6002014-05-21T00:00:00-07:002014-05-21T00:00:00-07:002014-11724Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-21/pdf/2014-11724.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/21/2014-11705.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of the Shares of iShares 2020 S&P AMT-Free Municipal Series Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .022014-05-21T00:00:00-07:002014-05-21T00:00:00-07:002014-11705Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-21/pdf/2014-11705.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/21/2014-11684.htmlNotice - Copley Fund, Inc.; Notice of Application2014-05-21T00:00:00-07:002014-05-21T00:00:00-07:002014-11684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-21/pdf/2014-11684.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/20/2014-11739.htmlNotice - Fusion Pharm, Inc.; Order of Suspension of Trading2014-05-20T00:00:00-07:002014-05-20T00:00:00-07:002014-11739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-20/pdf/2014-11739.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/20/2014-11738.htmlNotice - Global Stevia Corp.; Order of Suspension of Trading2014-05-20T00:00:00-07:002014-05-20T00:00:00-07:002014-11738Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-20/pdf/2014-11738.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/20/2014-11706.htmlNotice - Sunshine Act Meeting2014-05-20T00:00:00-07:002014-05-20T00:00:00-07:002014-11706Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-20/pdf/2014-11706.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/20/2014-11575.htmlNotice - Submission for OMB Review; Comment Request2014-05-20T00:00:00-07:002014-05-20T00:00:00-07:002014-11575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-20/pdf/2014-11575.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/20/2014-11574.htmlNotice - Proposed Collection; Comment Request2014-05-20T00:00:00-07:002014-05-20T00:00:00-07:002014-11574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-20/pdf/2014-11574.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/20/2014-11573.htmlNotice - Submission for OMB Review; Comment Request2014-05-20T00:00:00-07:002014-05-20T00:00:00-07:002014-11573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-20/pdf/2014-11573.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/20/2014-11571.htmlNotice - Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc.; Notice of Application2014-05-20T00:00:00-07:002014-05-20T00:00:00-07:002014-11571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-20/pdf/2014-11571.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/20/2014-11570.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-05-20T00:00:00-07:002014-05-20T00:00:00-07:002014-11570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-20/pdf/2014-11570.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/19/2014-11587.htmlNotice - Cybermesh International Corp., Golden Harvest Corporation (a/k/a Disability Access Corporation), Mirenco, Inc., Newport Digital Technologies, Inc., Resource Holdings, Inc., SCOLR Pharma, Inc., and Titan Global Holdings, Inc.; Order of Suspension of Trading2014-05-19T00:00:00-07:002014-05-19T00:00:00-07:002014-11587Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-19/pdf/2014-11587.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/19/2014-11441.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-05-19T00:00:00-07:002014-05-19T00:00:00-07:002014-11441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-19/pdf/2014-11441.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/19/2014-11440.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Rule 9.1(b) To Harmonize NYSE Arca's Rules With the Rules of Other Self-Regulatory Organizations Concerning Office Space Sharing2014-05-19T00:00:00-07:002014-05-19T00:00:00-07:002014-11440Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-19/pdf/2014-11440.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/19/2014-11439.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Equities Rule 9.1(b) To Harmonize NYSE Arca's Rules With the Rules of Other Self-Regulatory Organizations Concerning Office Space Sharing2014-05-19T00:00:00-07:002014-05-19T00:00:00-07:002014-11439Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-19/pdf/2014-11439.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/19/2014-11438.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC2014-05-19T00:00:00-07:002014-05-19T00:00:00-07:002014-11438Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-19/pdf/2014-11438.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/19/2014-11437.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC2014-05-19T00:00:00-07:002014-05-19T00:00:00-07:002014-11437Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-19/pdf/2014-11437.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/19/2014-11436.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Name Changes of Its Ultimate Parent, IntercontinentalExchange Group, Inc., and Its Indirect Parents, IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC2014-05-19T00:00:00-07:002014-05-19T00:00:00-07:002014-11436Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-19/pdf/2014-11436.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/19/2014-11435.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Orders That Are Tied to Stock2014-05-19T00:00:00-07:002014-05-19T00:00:00-07:002014-11435Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-19/pdf/2014-11435.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11461.htmlNotice - Pingify International, Inc.; Order of Suspension of Trading2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11461Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11461.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11342.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Withdrawal of an Advance Notice in Connection With a Proposed Change to its Operations in the Form of a Private Offering by OCC of Senior Unsecured Debt Securities2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11342.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11298.htmlNotice - Proposed Collection; Comment Request2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11298Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11298.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11297.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Account for Recent Changes to the Securities Eligible To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11297Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11297.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11296.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for the NASDAQ Basic Data Product2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11296Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11296.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11295.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Limitation on Entering Electronic Limit Orders From Off the Floor of the Exchange2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11295Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11295.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11294.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Consolidate Certain Committee Functions Into the BX Review Council2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11294Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11294.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11293.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees and Establish Fee Tiers for the Execution of Market-on-Close and Limit-on-Close Orders Executed in the NASDAQ Closing Cross and Eliminate the High Volume Market Participant Identifier Program2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11293.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11292.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Consolidate Certain Committee Functions Into the NASDAQ Review Council2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11292Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11292.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/16/2014-11291.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the Listed Company Manual To Modify How It Calculates Annual Fees for Certain Issuers in Their First Year of Listing on the Exchange Which Will Result in Large Issuers Receiving a Reduction in Their First Year's Annual Fee That Is Proportional to Their Reduced Time Listed on the Exchange2014-05-16T00:00:00-07:002014-05-16T00:00:00-07:002014-11291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-16/pdf/2014-11291.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11164.htmlNotice - Submission for OMB Review; Comment Request2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11164.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11163.htmlNotice - Submission for OMB Review; Comment Request2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11163.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11162.htmlNotice - Submission for OMB Review; Comment Request2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11162.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11161.htmlNotice - Submission for OMB Review; Comment Request2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11161.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11160.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to the Elimination of SPY Position Limits2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11160Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11160.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11159.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Relating to the Elimination of SPY Position Limits2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11159Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11159.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11158.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Means of Achieving the Investment Objectives of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11158Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11158.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11157.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to PowerShares Insured California Municipal Bond Portfolio, PowerShares Insured National Municipal Bond Portfolio, and PowerShares Insured New York Municipal Bond Portfolio2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11157Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11157.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11156.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change to List and Trade Shares of the iShares Interest Rate Hedged Corporate Bond ETF and iShares Interest Rate Hedged High Yield Bond ETF Under NYSE Arca Equities Rule 8.6002014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11156Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11156.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11155.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a 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, Incorporated2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11155Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11155.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11154.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Rebates2014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11154Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11154.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/15/2014-11153.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Rollout of the New Options Floor Broker Management System Until September 1, 20142014-05-15T00:00:00-07:002014-05-15T00:00:00-07:002014-11153Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-15/pdf/2014-11153.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/14/2014-11036.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and No Objection To Advance Notice To Renew DTC's Existing Credit Facility2014-05-14T00:00:00-07:002014-05-14T00:00:00-07:002014-11036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-14/pdf/2014-11036.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/14/2014-11035.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and No Objection to Advance Notice To Renew NSCC's Existing Credit Facility2014-05-14T00:00:00-07:002014-05-14T00:00:00-07:002014-11035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-14/pdf/2014-11035.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/14/2014-11034.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Quarterly Options Series Program2014-05-14T00:00:00-07:002014-05-14T00:00:00-07:002014-11034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-14/pdf/2014-11034.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/14/2014-11033.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions2014-05-14T00:00:00-07:002014-05-14T00:00:00-07:002014-11033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-14/pdf/2014-11033.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/14/2014-11032.htmlNotice - 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.2014-05-14T00:00:00-07:002014-05-14T00:00:00-07:002014-11032Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-14/pdf/2014-11032.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/14/2014-11031.htmlNotice - 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.2014-05-14T00:00:00-07:002014-05-14T00:00:00-07:002014-11031Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-14/pdf/2014-11031.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/14/2014-11030.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees Set Forth in Rule 7015(e) Governing WebLink ACT and the ACT Workstation2014-05-14T00:00:00-07:002014-05-14T00:00:00-07:002014-11030Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-14/pdf/2014-11030.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/14/2014-11028.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Non-Investment Grade Instruments on Standard North American Corporate Single Name Reference Entities2014-05-14T00:00:00-07:002014-05-14T00:00:00-07:002014-11028Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-14/pdf/2014-11028.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/14/2014-11027.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List, Effective May 2, 2014, To Set Forth a Fee for a Bond Trading License Under Rule 87 and a Rebate for Bond Liquidity Providers That Bring Liquidity to the Exchange's Bond Market in Accordance With Rule 88 and To Delete an Obsolete Fee2014-05-14T00:00:00-07:002014-05-14T00:00:00-07:002014-11027Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-14/pdf/2014-11027.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/13/2014-11057.htmlNotice - Sunshine Act Meeting2014-05-13T00:00:00-07:002014-05-13T00:00:00-07:002014-11057Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-13/pdf/2014-11057.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/13/2014-10900.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation and Solicited Orders in Open Outcry Trading2014-05-13T00:00:00-07:002014-05-13T00:00:00-07:002014-10900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-13/pdf/2014-10900.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/13/2014-10899.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Market Maker Risk Parameters2014-05-13T00:00:00-07:002014-05-13T00:00:00-07:002014-10899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-13/pdf/2014-10899.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/13/2014-10898.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Market Maker Risk Parameters2014-05-13T00:00:00-07:002014-05-13T00:00:00-07:002014-10898Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-13/pdf/2014-10898.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/13/2014-10897.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Update ICC's Liquidity Thresholds for Euro Denominated Products2014-05-13T00:00:00-07:002014-05-13T00:00:00-07:002014-10897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-13/pdf/2014-10897.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/13/2014-10896.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Certain Margin Rules for Volatility Index Options2014-05-13T00:00:00-07:002014-05-13T00:00:00-07:002014-10896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-13/pdf/2014-10896.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/13/2014-10895.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) As Amended2014-05-13T00:00:00-07:002014-05-13T00:00:00-07:002014-10895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-13/pdf/2014-10895.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10922.htmlNotice - In the Matter of Imaging Diagnostic Systems, Inc.; Order of Suspension of Trading2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10922Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10922.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10785.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Cease Trading on Its Trading System2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10785.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10779.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Change Certain Fees Applicable to Liquidity Providers, Eliminate a Rebate and Adopt a Fee for Removing Liquidity, and Reducing a Fee for Routed Orders, All With Respect to Securities Priced at $1.00 or Greater2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10779.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10778.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10778Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10778.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10777.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to Mini Options2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10777Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10777.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10776.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10776Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10776.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10775.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .01 to Rule 6.3. To Replace the Reference to “GOOG” With “GOOGL”2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10775.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10774.htmlNotice - 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 Schedule2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10774Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10774.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10773.htmlNotice - 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 Schedule2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10773.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10772.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of Certain Funds of the ProShares Trust2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10772.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10771.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Regarding the Short Term Option Series Program2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10771Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10771.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/12/2014-10770.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Making Changes in the Position Limits and Accountability Levels of CME Cleared OTC FX Spot, Forward and Swap Contracts2014-05-12T00:00:00-07:002014-05-12T00:00:00-07:002014-10770Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-12/pdf/2014-10770.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/09/2014-10798.htmlNotice - Cannabusiness Group, Inc.; Order of Suspension of Trading2014-05-09T00:00:00-07:002014-05-09T00:00:00-07:002014-10798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-09/pdf/2014-10798.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/09/2014-10797.htmlNotice - Clear Skies Solar, Inc., Debut Broadcasting Corporation, Inc., Physicians Healthcare Management Group, Inc., Technipower Systems, Inc. (a/k/a Solomon Technologies, Inc.), Theater Xtreme Entertainment Group, Inc., WorldGate Communications, Inc., and YTB International, Inc. (a/k/a 1803 International, Inc.); Order of Suspension of Trading2014-05-09T00:00:00-07:002014-05-09T00:00:00-07:002014-10797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-09/pdf/2014-10797.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/09/2014-10653.htmlNotice - 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 Calamos Focus Growth ETF of the Calamos ETF Trust2014-05-09T00:00:00-07:002014-05-09T00:00:00-07:002014-10653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-09/pdf/2014-10653.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/09/2014-10652.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options Pricing2014-05-09T00:00:00-07:002014-05-09T00:00:00-07:002014-10652Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-09/pdf/2014-10652.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/09/2014-10651.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to JBO Orders2014-05-09T00:00:00-07:002014-05-09T00:00:00-07:002014-10651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-09/pdf/2014-10651.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10543.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rules, Amendments To Conform the Board's Rules and Forms to the Dodd-Frank Act and Make Certain Updates and Clarifications, as Modified by Amendment No. 12014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10543.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10542.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5 Regarding the Route Peg Order2014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10542.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10541.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.5 Regarding the Route Peg Order2014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10541Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10541.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10540.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt a New Order Type Called the Mid-Point Discretionary Order2014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10540Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10540.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10539.htmlNotice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.91 To Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and To Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order Types and Modifiers2014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10539Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10539.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10538.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY To Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and To Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order Types and Modifiers2014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10538.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10537.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Update ICC's Policy Regarding Valuation of Maturing U.S. Treasury Securities and Update ICC's Collateral Asset Haircut Methodology2014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10537.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10536.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Availability of Certain Delayed Market Data on CBOE Web Sites2014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10536.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10535.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca, Inc.'s Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry2014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10535.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/08/2014-10534.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualification and Registration Requirements of Permit Holders and Associated Persons of Permit Holders2014-05-08T00:00:00-07:002014-05-08T00:00:00-07:002014-10534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-08/pdf/2014-10534.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/07/2014-10553.htmlNotice - In the Matter of: Genosys, Inc.: Order of Suspension of Trading2014-05-07T00:00:00-07:002014-05-07T00:00:00-07:002014-10553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-07/pdf/2014-10553.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/07/2014-10437.htmlNotice - Securities Exchange Act of 1934; In the Matter of Exchange Act Rule 13p-1 and Form SD; Order Issuing Stay2014-05-07T00:00:00-07:002014-05-07T00:00:00-07:002014-10437Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-07/pdf/2014-10437.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/07/2014-10408.htmlNotice - 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 AdvisorShares Sunrise Global Multi-Strategy ETF of AdvisorShares Trust2014-05-07T00:00:00-07:002014-05-07T00:00:00-07:002014-10408Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-07/pdf/2014-10408.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/07/2014-10389.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering ArcaBook for Amex Options-Complex on a Standalone Basis Without Charge From May 1, 2014 Through October 31, 20142014-05-07T00:00:00-07:002014-05-07T00:00:00-07:002014-10389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-07/pdf/2014-10389.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/07/2014-10388.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Offering ArcaBook for Arca Options-Complex on a Standalone Basis Without Charge From May 1, 2014 Through October 31, 20142014-05-07T00:00:00-07:002014-05-07T00:00:00-07:002014-10388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-07/pdf/2014-10388.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/07/2014-10387.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Quarterly Options Series Program2014-05-07T00:00:00-07:002014-05-07T00:00:00-07:002014-10387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-07/pdf/2014-10387.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/07/2014-10386.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Quarterly Options Series Program2014-05-07T00:00:00-07:002014-05-07T00:00:00-07:002014-10386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-07/pdf/2014-10386.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/07/2014-10385.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Quarterly Options Series Program2014-05-07T00:00:00-07:002014-05-07T00:00:00-07:002014-10385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-07/pdf/2014-10385.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/07/2014-10384.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Self-Trades and FINRA Rule 5210 (Publication of Transactions and Quotations) May 1, 2014.2014-05-07T00:00:00-07:002014-05-07T00:00:00-07:002014-10384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-07/pdf/2014-10384.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10360.htmlNotice - 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 8.6002014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10360Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10360.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10359.htmlNotice - 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-2013-0462014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10359.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10358.htmlNotice - 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 8.6002014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10358.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10293.htmlNotice - 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)2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10293.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10292.htmlNotice - 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 Transactions2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10292Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10292.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10291.htmlNotice - 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”2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10291.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10290.htmlNotice - 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”2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10290Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10290.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10289.htmlNotice - 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”2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10289Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10289.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10288.htmlNotice - 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”2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10288Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10288.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10287.htmlNotice - 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”2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10287Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10287.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10286.htmlNotice - 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 Executions2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10286Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10286.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10285.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Rule 2128 Relating to Clearly Erroneous Trades2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10285Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10285.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10284.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.13, Entitled “Clearly Erroneous Executions”2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10284Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10284.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10283.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.13, Entitled “Clearly Erroneous Executions”2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10283Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10283.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10282.htmlNotice - 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 Declared2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10282Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10282.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10281.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.17, Entitled “Clearly Erroneous Executions”2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10281.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/06/2014-10280.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.17, Entitled “Clearly Erroneous Executions”2014-05-06T00:00:00-07:002014-05-06T00:00:00-07:002014-10280Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-06/pdf/2014-10280.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/05/2014-10362.htmlNotice - Sunshine Act Meeting2014-05-05T00:00:00-07:002014-05-05T00:00:00-07:002014-10362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-05/pdf/2014-10362.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/05/2014-10171.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt and Amend Certain Customer Protection and Financial Rules2014-05-05T00:00:00-07:002014-05-05T00:00:00-07:002014-10171Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-05/pdf/2014-10171.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/05/2014-10170.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule Text Related to Acceptable Trade Range in Chapter VI, Section 10 of the BX Options Rules2014-05-05T00:00:00-07:002014-05-05T00:00:00-07:002014-10170Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-05/pdf/2014-10170.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/05/2014-10169.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .01 to Rule 901 To Replace the Reference to “GOOG” with “GOOGL”2014-05-05T00:00:00-07:002014-05-05T00:00:00-07:002014-10169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-05/pdf/2014-10169.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/05/2014-10168.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Treatment of Intermarket Sweep Orders Entered Prior to the Completion of the Options Opening Process of BATS Exchange, Inc.2014-05-05T00:00:00-07:002014-05-05T00:00:00-07:002014-10168Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-05/pdf/2014-10168.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/05/2014-10142.htmlNotice - Proposed Collection; Comment Request2014-05-05T00:00:00-07:002014-05-05T00:00:00-07:002014-10142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-05/pdf/2014-10142.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/02/2014-10143.htmlNotice - Proposed Collection; Comment Request2014-05-02T00:00:00-07:002014-05-02T00:00:00-07:002014-10143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-02/pdf/2014-10143.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/02/2014-10042.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Short Term Option Series2014-05-02T00:00:00-07:002014-05-02T00:00:00-07:002014-10042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-02/pdf/2014-10042.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/02/2014-10041.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Revisions Consistent with U.S. Commodity Futures Trading Commission (“CFTC”) Recommendations2014-05-02T00:00:00-07:002014-05-02T00:00:00-07:002014-10041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-02/pdf/2014-10041.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/02/2014-09108.htmlProposed Rule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers2014-05-02T00:00:00-07:002014-05-02T00:00:00-07:002014-09108Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-02/pdf/2014-09108.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09972.htmlNotice - 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 Rules2014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09972.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09971.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09971.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09927.htmlNotice - Steben Select Multi-Strategy Fund and Steben & Company, Inc.; Notice of Application2014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09927Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09927.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09926.htmlNotice - 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 IV2014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09926Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09926.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09925.htmlNotice - 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 System2014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09925Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09925.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09924.htmlNotice - 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 8.6002014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09924Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09924.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09923.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 1064 and 10802014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09923Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09923.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09922.htmlNotice - 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 882014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09922Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09922.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09921.htmlNotice - 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 Orders2014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09921Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09921.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09920.htmlNotice - 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.2014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09920Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09920.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09919.htmlNotice - 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 Professionals2014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09919Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09919.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09918.htmlNotice - 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 Authorization2014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09918Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09918.pdfhttps://regulations.justia.com/regulations/fedreg/2014/05/01/2014-09917.htmlNotice - 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 Authorization2014-05-01T00:00:00-07:002014-05-01T00:00:00-07:002014-09917Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-05-01/pdf/2014-09917.pdf