<![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?registers=between&min-day=1&max-day=31 Wed, 22 May 2024 18:53:16 -0700 Wed, 22 May 2024 18:53:16 -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?registers=between&min-day=1&max-day=31 Notice - 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. 500-1 https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12669.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12669.html Fri, 30 May 2014 00:00:00 -0700 2014-12669 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12669.pdf Notice - 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 PSX https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12527.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12527.html Fri, 30 May 2014 00:00:00 -0700 2014-12527 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12527.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12526.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12526.html Fri, 30 May 2014 00:00:00 -0700 2014-12526 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12526.pdf Notice - 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 Delisted https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12525.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12525.html Fri, 30 May 2014 00:00:00 -0700 2014-12525 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12525.pdf Notice - 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 Delisted https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12524.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12524.html Fri, 30 May 2014 00:00:00 -0700 2014-12524 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12524.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12523.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12523.html Fri, 30 May 2014 00:00:00 -0700 2014-12523 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12523.pdf Notice - 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 Directors https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12522.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12522.html Fri, 30 May 2014 00:00:00 -0700 2014-12522 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12522.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12521.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12521.html Fri, 30 May 2014 00:00:00 -0700 2014-12521 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12521.pdf Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change to Suspend Competitive Trading of EFPs https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12520.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12520.html Fri, 30 May 2014 00:00:00 -0700 2014-12520 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12520.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12519.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12519.html Fri, 30 May 2014 00:00:00 -0700 2014-12519 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12519.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12518.html https://regulations.justia.com/regulations/fedreg/2014/05/30/2014-12518.html Fri, 30 May 2014 00:00:00 -0700 2014-12518 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-30/pdf/2014-12518.pdf Notice - Pro-Tech Industries, Inc., Vida Life International Ltd., Vitavea, Inc., Western Power & Equipment Corp., and Westmont Resources, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12433.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12433.html Thu, 29 May 2014 00:00:00 -0700 2014-12433 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12433.pdf Notice - In the Matter of OCTuS, Inc., Pacific Coast National Bancorp, Travelstar, Inc., We Save Homes, Inc., and ZVUE Corp., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12432.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12432.html Thu, 29 May 2014 00:00:00 -0700 2014-12432 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12432.pdf Notice - Fortitude Group, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12431.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12431.html Thu, 29 May 2014 00:00:00 -0700 2014-12431 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12431.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Enhance the Exchange's Audit Trail https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12426.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12426.html Thu, 29 May 2014 00:00:00 -0700 2014-12426 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12426.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Accounts https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12425.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12425.html Thu, 29 May 2014 00:00:00 -0700 2014-12425 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12425.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503 https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12424.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12424.html Thu, 29 May 2014 00:00:00 -0700 2014-12424 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12424.pdf Notice - 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 11.17 https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12423.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12423.html Thu, 29 May 2014 00:00:00 -0700 2014-12423 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12423.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Nasdaq Opening Cross Contingency https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12422.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12422.html Thu, 29 May 2014 00:00:00 -0700 2014-12422 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12422.pdf Notice - 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 Product https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12421.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12421.html Thu, 29 May 2014 00:00:00 -0700 2014-12421 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12421.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12420.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12420.html Thu, 29 May 2014 00:00:00 -0700 2014-12420 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12420.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12419.html https://regulations.justia.com/regulations/fedreg/2014/05/29/2014-12419.html Thu, 29 May 2014 00:00:00 -0700 2014-12419 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-29/pdf/2014-12419.pdf Notice - Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12246.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12246.html Wed, 28 May 2014 00:00:00 -0700 2014-12246 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12246.pdf Notice - Privacy Act of 1974: Systems of Records. https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12234.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12234.html Wed, 28 May 2014 00:00:00 -0700 2014-12234 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12234.pdf Notice - Beverly Hills Bancorp Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12231.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12231.html Wed, 28 May 2014 00:00:00 -0700 2014-12231 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12231.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12230.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12230.html Wed, 28 May 2014 00:00:00 -0700 2014-12230 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12230.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12229.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12229.html Wed, 28 May 2014 00:00:00 -0700 2014-12229 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12229.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12228.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12228.html Wed, 28 May 2014 00:00:00 -0700 2014-12228 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12228.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12227.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12227.html Wed, 28 May 2014 00:00:00 -0700 2014-12227 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12227.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12226.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12226.html Wed, 28 May 2014 00:00:00 -0700 2014-12226 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12226.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12225.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12225.html Wed, 28 May 2014 00:00:00 -0700 2014-12225 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12225.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12224.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12224.html Wed, 28 May 2014 00:00:00 -0700 2014-12224 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12224.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12223.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12223.html Wed, 28 May 2014 00:00:00 -0700 2014-12223 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12223.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 1614 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12222.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12222.html Wed, 28 May 2014 00:00:00 -0700 2014-12222 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12222.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12221.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12221.html Wed, 28 May 2014 00:00:00 -0700 2014-12221 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12221.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12220.html https://regulations.justia.com/regulations/fedreg/2014/05/28/2014-12220.html Wed, 28 May 2014 00:00:00 -0700 2014-12220 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-28/pdf/2014-12220.pdf Notice - Sunshine Act Meeting. https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12310.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12310.html Tue, 27 May 2014 00:00:00 -0700 2014-12310 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12310.pdf Notice - International Development and Environmental Holdings; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12255.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12255.html Tue, 27 May 2014 00:00:00 -0700 2014-12255 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12255.pdf Notice - Angel Acquisition Corp. n/k/a Biogeron, Inc.;Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12248.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12248.html Tue, 27 May 2014 00:00:00 -0700 2014-12248 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12248.pdf Notice - First Power & Light, Inc.,: n/k/a Volt Solar Systems, Inc; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12247.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12247.html Tue, 27 May 2014 00:00:00 -0700 2014-12247 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12247.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Trading Space Allocation Procedures https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12076.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12076.html Tue, 27 May 2014 00:00:00 -0700 2014-12076 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12076.pdf Notice - 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 Proceeding https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12075.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12075.html Tue, 27 May 2014 00:00:00 -0700 2014-12075 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12075.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Regulatory Cooperation https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12074.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12074.html Tue, 27 May 2014 00:00:00 -0700 2014-12074 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12074.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12073.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12073.html Tue, 27 May 2014 00:00:00 -0700 2014-12073 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12073.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12072.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12072.html Tue, 27 May 2014 00:00:00 -0700 2014-12072 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12072.pdf Notice - 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, 2014 https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12071.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12071.html Tue, 27 May 2014 00:00:00 -0700 2014-12071 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12071.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12070.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12070.html Tue, 27 May 2014 00:00:00 -0700 2014-12070 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12070.pdf Notice - 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, 2014 https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12069.html https://regulations.justia.com/regulations/fedreg/2014/05/27/2014-12069.html Tue, 27 May 2014 00:00:00 -0700 2014-12069 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-27/pdf/2014-12069.pdf Notice - China Green Lighting Limited, China Kangtai Cactus Bio-Tech, Inc., Gemco Minerals, Inc., Perfectenergy International Limited, and Rodobo International, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/05/23/2014-12111.html https://regulations.justia.com/regulations/fedreg/2014/05/23/2014-12111.html Fri, 23 May 2014 00:00:00 -0700 2014-12111 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-23/pdf/2014-12111.pdf Notice - Capitala Finance Corp., et al.; https://regulations.justia.com/regulations/fedreg/2014/05/23/2014-11965.html https://regulations.justia.com/regulations/fedreg/2014/05/23/2014-11965.html Fri, 23 May 2014 00:00:00 -0700 2014-11965 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-05-23/pdf/2014-11965.pdf