<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/07/09?registers=between Sun, 28 Apr 2024 03:21:05 -0700 Sun, 28 Apr 2024 03:21:05 -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/2014/07/09?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16107.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16107.html Wed, 09 Jul 2014 00:00:00 -0700 2014-16107 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16107.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending 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/2014/07/09/2014-16048.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16048.html Wed, 09 Jul 2014 00:00:00 -0700 2014-16048 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16048.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending 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/2014/07/09/2014-16047.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16047.html Wed, 09 Jul 2014 00:00:00 -0700 2014-16047 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16047.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the 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 Fund https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16046.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16046.html Wed, 09 Jul 2014 00:00:00 -0700 2014-16046 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16046.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Settlement Procedures Regarding Five CME Cleared OTC FX Spot, Forward and Swap Contracts https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16045.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16045.html Wed, 09 Jul 2014 00:00:00 -0700 2014-16045 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16045.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16040.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16040.html Wed, 09 Jul 2014 00:00:00 -0700 2014-16040 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16040.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16039.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16039.html Wed, 09 Jul 2014 00:00:00 -0700 2014-16039 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16039.pdf Notice - BMO Funds, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15971.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15971.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15971 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15971.pdf Notice - Janus Investment Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15970.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15970.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15970 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15970.pdf Notice - KraneShares Trust and Krane Funds Advisors, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15969.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15969.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15969 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15969.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15968.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15968.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15968 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15968.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15967.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15967.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15967 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15967.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15966.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15966.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15966 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15966.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15965.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15965.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15965 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15965.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of WBI SMID Tactical Growth Shares; WBI SMID Tactical Value Shares; WBI SMID Tactical Yield Shares; WBI SMID Tactical Select Shares; WBI Large Cap Tactical Growth Shares; WBI Large Cap Tactical Value Shares; WBI Large Cap Tactical Yield Shares; WBI Large Cap Tactical Select Shares; WBI Tactical Income Shares; and WBI Tactical High Income Shares under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15964.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15964.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15964 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15964.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Fee Schedule Relating to Manual Executions by Firms and Broker Dealers https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15963.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15963.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15963 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15963.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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 .02 https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15962.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15962.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15962 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15962.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15961.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15961.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15961 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15961.pdf Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing of Proposed Rule Change Relating to the NFA Interpretive Notice Entitled “NFA Compliance Rule 2-9: Enhanced Supervisory Requirements” https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15960.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15960.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15960 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15960.pdf Rule - Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15337.html https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15337.html Wed, 09 Jul 2014 00:00:00 -0700 2014-15337 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15337.pdf