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?limit=200&registers=between&mode=atom 2024-11-25T16:20:16-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16107.html Notice - Sunshine Act Meetings 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-16107 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16107.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16048.html 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 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-16048 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16048.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16047.html 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 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-16047 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16047.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16046.html 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 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-16046 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16046.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16045.html 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 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-16045 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16045.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16040.html Notice - Proposed Collection; Comment Request 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-16040 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16040.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16039.html Notice - Submission for OMB Review; Comment Request 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-16039 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16039.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15971.html Notice - BMO Funds, Inc., et al.; Notice of Application 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15971 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15971.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15970.html Notice - Janus Investment Fund, et al.; Notice of Application 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15970 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15970.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15969.html Notice - KraneShares Trust and Krane Funds Advisors, LLC; Notice of Application 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15969 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15969.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15968.html Notice - Proposed Collection; Comment Request 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15968 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15968.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15967.html Notice - Proposed Collection; Comment Request 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15967 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15967.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15966.html Notice - Proposed Collection; Comment Request 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15966 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15966.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15965.html Notice - Proposed Collection; Comment Request 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15965 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15965.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15964.html 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 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15964 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15964.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15963.html 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 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15963 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15963.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15962.html 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 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15962 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15962.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15961.html 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) 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15961 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15961.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15960.html 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” 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15960 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15960.pdf https://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15337.html Rule - Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities 2014-07-09T00:00:00-07:00 2014-07-09T00:00:00-07:00 2014-15337 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15337.pdf