Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/07?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-24T16:02:00-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/07/31/2014-18038.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Process All Sell Transactions Prior to the Exercise of Long Options in Market-Maker Accounts To Ensure That Only Net Long Positions May Be Exercised2014-07-31T00:00:00-07:002014-07-31T00:00:00-07:002014-18038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-31/pdf/2014-18038.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/31/2014-17989.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating To Include Additional Specificity Within Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions2014-07-31T00:00:00-07:002014-07-31T00:00:00-07:002014-17989Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-31/pdf/2014-17989.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/31/2014-17988.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire the EDGE Routed Liquidity Report2014-07-31T00:00:00-07:002014-07-31T00:00:00-07:002014-17988Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-31/pdf/2014-17988.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/31/2014-17987.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire the EDGE Routed Liquidity Report2014-07-31T00:00:00-07:002014-07-31T00:00:00-07:002014-17987Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-31/pdf/2014-17987.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17883.htmlNotice - Steben Alternative Investment Funds and Steben & Company, Inc.; Notice of Application2014-07-30T00:00:00-07:002014-07-30T00:00:00-07:002014-17883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17883.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17882.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Amend IM-5900-7 To, Among Other Things, Modify the Free Services Offered to Certain Newly Listing Companies2014-07-30T00:00:00-07:002014-07-30T00:00:00-07:002014-17882Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17882.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17881.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Relating to the Give Up of a Clearing Trading Permit Holder2014-07-30T00:00:00-07:002014-07-30T00:00:00-07:002014-17881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17881.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17880.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 2 Thereto Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund2014-07-30T00:00:00-07:002014-07-30T00:00:00-07:002014-17880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17880.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17879.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the AdvisorShares Athena High Dividend ETF Under NYSE Arca Equities Rule 8.6002014-07-30T00:00:00-07:002014-07-30T00:00:00-07:002014-17879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17879.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17878.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options2014-07-30T00:00:00-07:002014-07-30T00:00:00-07:002014-17878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17878.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17778.htmlNotice - Proposed Collection; Comment Request2014-07-29T00:00:00-07:002014-07-29T00:00:00-07:002014-17778Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17778.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17777.htmlNotice - Proposed Collection; Comment Request2014-07-29T00:00:00-07:002014-07-29T00:00:00-07:002014-17777Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17777.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17776.htmlNotice - Proposed Collection; Comment Request2014-07-29T00:00:00-07:002014-07-29T00:00:00-07:002014-17776Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17776.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17775.htmlNotice - The New Ireland Fund, Inc. and Kleinwort Benson Investors International Ltd.; Notice of Application2014-07-29T00:00:00-07:002014-07-29T00:00:00-07:002014-17775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17775.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17774.htmlNotice - Automated Matching Systems Exchange, LLC; Notice of Filing of Application for Limited Volume Exemption From Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 19342014-07-29T00:00:00-07:002014-07-29T00:00:00-07:002014-17774Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17774.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17773.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Bandwidth Allowance2014-07-29T00:00:00-07:002014-07-29T00:00:00-07:002014-17773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17773.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17772.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Implement a New Scorecard Feature to the Mutual Fund Profile Service2014-07-29T00:00:00-07:002014-07-29T00:00:00-07:002014-17772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17772.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17748.htmlNotice - Notice of Proposed Exemptive Order Granting Permanent Exemptions Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10 for Certain Money Market Funds2014-07-29T00:00:00-07:002014-07-29T00:00:00-07:002014-17748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17748.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17638.htmlNotice - Order Granting Applications by NASDAQ OMX BX, Inc. and the NASDAQ Stock Market LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2014-07-29T00:00:00-07:002014-07-29T00:00:00-07:002014-17638Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17638.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17810.htmlNotice - Sunshine Act Meeting2014-07-28T00:00:00-07:002014-07-28T00:00:00-07:002014-17810Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17810.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17655.htmlNotice - TrimTabs Asset Management, LLC, et al.; Notice of Application2014-07-28T00:00:00-07:002014-07-28T00:00:00-07:002014-17655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17655.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17641.htmlNotice - Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright International Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M2014-07-28T00:00:00-07:002014-07-28T00:00:00-07:002014-17641Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17641.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17640.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of “Third-Party Data”2014-07-28T00:00:00-07:002014-07-28T00:00:00-07:002014-17640Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17640.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17639.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of InfraCap Active MLP ETF Under NYSE Arca Equities Rule 8.6002014-07-28T00:00:00-07:002014-07-28T00:00:00-07:002014-17639Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17639.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17617.htmlNotice - Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust; Notice of Application2014-07-28T00:00:00-07:002014-07-28T00:00:00-07:002014-17617Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17617.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17614.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information2014-07-28T00:00:00-07:002014-07-28T00:00:00-07:002014-17614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17614.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17516.htmlNotice - Proposed Collection; Comment Request2014-07-25T00:00:00-07:002014-07-25T00:00:00-07:002014-17516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-25/pdf/2014-17516.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17515.htmlNotice - Proposed Collection; Comment Request2014-07-25T00:00:00-07:002014-07-25T00:00:00-07:002014-17515Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-25/pdf/2014-17515.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17514.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, and 11.18 of BATS Y-Exchange, Inc.2014-07-25T00:00:00-07:002014-07-25T00:00:00-07:002014-17514Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-25/pdf/2014-17514.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17513.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, 11.18, 21.1 and 21.7 of BATS Exchange, Inc.2014-07-25T00:00:00-07:002014-07-25T00:00:00-07:002014-17513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-25/pdf/2014-17513.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17401.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating To Listing and Trading Shares of First Trust Long/Short Equity ETF Under NYSE Arca Equities Rule 8.6002014-07-24T00:00:00-07:002014-07-24T00:00:00-07:002014-17401Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-24/pdf/2014-17401.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17400.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules Relating to Auditing Standard No. 18, Related Parties, Amendments to Certain PCAOB Auditing Standards Regarding Significant Unusual Transactions, and Other Amendments to PCAOB Auditing Standards2014-07-24T00:00:00-07:002014-07-24T00:00:00-07:002014-17400Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-24/pdf/2014-17400.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17399.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Lead Market Maker Rights Fees2014-07-24T00:00:00-07:002014-07-24T00:00:00-07:002014-17399Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-24/pdf/2014-17399.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17398.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the ARK Innovation ETF, ARK Genomic Revolution ETF, ARK Industrial Innovation ETF, and ARK Web x.0 ETF Under NYSE Arca Equities Rule 8.6002014-07-24T00:00:00-07:002014-07-24T00:00:00-07:002014-17398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-24/pdf/2014-17398.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17282.htmlNotice - Proposed Collection; Comment Request2014-07-23T00:00:00-07:002014-07-23T00:00:00-07:002014-17282Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17282.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17281.htmlNotice - Proposed Collection; Comment Request2014-07-23T00:00:00-07:002014-07-23T00:00:00-07:002014-17281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17281.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17280.htmlNotice - Proposed Collection; Comment Request2014-07-23T00:00:00-07:002014-07-23T00:00:00-07:002014-17280Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17280.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17279.htmlNotice - Proposed Collection; Comment Request2014-07-23T00:00:00-07:002014-07-23T00:00:00-07:002014-17279Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17279.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17278.htmlNotice - Proposed Collection; Comment Request2014-07-23T00:00:00-07:002014-07-23T00:00:00-07:002014-17278Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17278.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17270.htmlNotice - FundVantage Trust, et al.2014-07-23T00:00:00-07:002014-07-23T00:00:00-07:002014-17270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17270.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17267.htmlNotice - Stellus Capital Investment Corporation, et al.;2014-07-23T00:00:00-07:002014-07-23T00:00:00-07:002014-17267Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17267.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17266.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 10702014-07-23T00:00:00-07:002014-07-23T00:00:00-07:002014-17266Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17266.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17265.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust2014-07-23T00:00:00-07:002014-07-23T00:00:00-07:002014-17265Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17265.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17188.htmlNotice - Sunshine Act Meeting2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17188.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17186.htmlNotice - In the Matter of Cubed, Inc.; Order of Suspension of Trading2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17186.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17142.htmlNotice - Sunshine Act Meeting2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17142.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17141.htmlNotice - Sunshine Act Meeting2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17141.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17034.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Duration Mortgage Opportunities ETF of First Trust Exchange-Traded Fund IV2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17034.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17020.htmlNotice - Submission for OMB Review; Comment Request2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17020Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17020.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17019.htmlNotice - Proposed Collection; Comment Request2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17019Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17019.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17018.htmlNotice - Proposed Collection; Comment Request2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17018Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17018.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17017.htmlNotice - Proposed Collection; Comment Request2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17017Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17017.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17016.htmlNotice - Proposed Collection; Comment Request2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17016Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17016.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17015.htmlNotice - Proposed Collection; Comment Request2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17015Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17015.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17014.htmlNotice - Proposed Collection; Comment Request2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17014Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17014.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17013.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fees Schedule2014-07-21T00:00:00-07:002014-07-21T00:00:00-07:002014-17013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17013.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/18/2014-17036.htmlNotice - In the Matter of: Natural Blue Resources, Inc., File No. 500-1; Order of Suspension of Trading2014-07-18T00:00:00-07:002014-07-18T00:00:00-07:002014-17036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-18/pdf/2014-17036.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/18/2014-17035.htmlNotice - Alaska Gold Corp., Blaze Energy Corp., Call Now, Inc., Hunt Global Resources, Inc., Imperial Petroleum Recovery Corporation, Metropolitan Mines Corporation, Limited, and SulphCo, Inc.; Order of Suspension of Trading2014-07-18T00:00:00-07:002014-07-18T00:00:00-07:002014-17035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-18/pdf/2014-17035.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/18/2014-16888.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of a Recent Proposal Relating to Joint Back Office Participants2014-07-18T00:00:00-07:002014-07-18T00:00:00-07:002014-16888Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-18/pdf/2014-16888.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/18/2014-16887.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto To Modify the Order Execution Algorithm of NASDAQ OMX PSX2014-07-18T00:00:00-07:002014-07-18T00:00:00-07:002014-16887Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-18/pdf/2014-16887.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16824.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports2014-07-17T00:00:00-07:002014-07-17T00:00:00-07:002014-16824Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-17/pdf/2014-16824.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16787.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change Its Procedure for Processing Fingerprints Under Existing Rule 8072014-07-17T00:00:00-07:002014-07-17T00:00:00-07:002014-16787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-17/pdf/2014-16787.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16786.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Make Its Existing Policy Concerning Specified Concentration Limits Related to Deposits of Certain Letters of Credit Applicable to All Letters of Credit2014-07-17T00:00:00-07:002014-07-17T00:00:00-07:002014-16786Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-17/pdf/2014-16786.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16785.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise End-of-Day Price Discovery Policies and Procedures2014-07-17T00:00:00-07:002014-07-17T00:00:00-07:002014-16785Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-17/pdf/2014-16785.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16665.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.2014-07-16T00:00:00-07:002014-07-16T00:00:00-07:002014-16665Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16665.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16664.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.2014-07-16T00:00:00-07:002014-07-16T00:00:00-07:002014-16664Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16664.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16653.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rules 7.6, 7.11, 7.16, 7.31, 7.34, 7.35, 7.37 and 7.65 To Eliminate Certain Order Types, Modifiers and Related References2014-07-16T00:00:00-07:002014-07-16T00:00:00-07:002014-16653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16653.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16652.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-07-16T00:00:00-07:002014-07-16T00:00:00-07:002014-16652Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16652.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16651.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-07-16T00:00:00-07:002014-07-16T00:00:00-07:002014-16651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16651.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16650.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee2014-07-16T00:00:00-07:002014-07-16T00:00:00-07:002014-16650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16650.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16649.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee2014-07-16T00:00:00-07:002014-07-16T00:00:00-07:002014-16649Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16649.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16648.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees and Rebates for Various Options2014-07-16T00:00:00-07:002014-07-16T00:00:00-07:002014-16648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16648.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16647.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-07-16T00:00:00-07:002014-07-16T00:00:00-07:002014-16647Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16647.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16697.htmlNotice - Sunshine Act Meeting2014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16697Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16697.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16693.htmlNotice - In The Matter of Cynk Technology Corp.; Order of Suspension of Trading2014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16693Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16693.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16542.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to EMIR Requirements2014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16542.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16502.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Modify the Receiver Authorized Deliver and Reclaim Processing Value Limits by Transaction2014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16502Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16502.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16501.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service2014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16501Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16501.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16500.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule in a Number of Different Ways2014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16500.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16499.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC In Order To Reflect Changes To the Capital Structure of the Company2014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16499.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16498.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share2014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16498Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16498.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16497.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of Hull Tactical US ETF Under NYSE Arca Equities Rule 8.6002014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16497Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16497.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16496.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Extending AIM and FLEX AIM Pilot Programs Until July 18, 20152014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16496.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16495.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extending AIM Pilot Program Until July 18, 20152014-07-15T00:00:00-07:002014-07-15T00:00:00-07:002014-16495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16495.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16518.htmlNotice - the Matter of ErgoBilt, Inc., FPB Bancorp, Inc., Geos Communications, Inc., Integra Bank Corporation, Latitude Solutions Inc., Noram Capital Holdings, Inc., Raptor Technology Group, Inc., and Subjex Corp.; Order Of Suspension Of Trading2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16518.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16373.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16373Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16373.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16372.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16372Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16372.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16371.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding the MIAX Market Maker Sliding Scale for Transaction Fees2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16371Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16371.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16370.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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 Directors2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16370Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16370.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16369.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16369.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16368.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE ArcaBook2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16368.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16367.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16367.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16366.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16366.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16365.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Related to ICC's Authority To Use Guaranty Fund and House Initial Margin as an Internal Liquidity Resource2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16365Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16365.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16364.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Application Procedures for Trading Permit Holders and Associated Persons of Trading Permit Holders2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16364.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16363.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Price Improvement Mechanism2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16363Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16363.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16362.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Price Improvement Mechanism2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16362.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16361.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding Investment Losses and Non-Default Losses2014-07-14T00:00:00-07:002014-07-14T00:00:00-07:002014-16361Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16361.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16193.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing 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 Directors2014-07-11T00:00:00-07:002014-07-11T00:00:00-07:002014-16193Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16193.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16192.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees2014-07-11T00:00:00-07:002014-07-11T00:00:00-07:002014-16192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16192.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16191.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 13 to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders2014-07-11T00:00:00-07:002014-07-11T00:00:00-07:002014-16191Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16191.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16190.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 13-Equities To Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders2014-07-11T00:00:00-07:002014-07-11T00:00:00-07:002014-16190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16190.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16189.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Midpoint Peg Post-Only Order and Modify the Minimum Quantity Order on NASDAQ OMX PSX2014-07-11T00:00:00-07:002014-07-11T00:00:00-07:002014-16189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16189.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16188.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Interpretive Material to Rule 7150 (Price Improvement Period “PIP”) and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period “COPIP”)2014-07-11T00:00:00-07:002014-07-11T00:00:00-07:002014-16188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16188.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16103.htmlNotice - American Capital, Ltd., et al.;2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16103Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16103.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16102.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change to CDS Policies Relating to EMIR2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16102Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16102.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16101.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Hearing Officer To Include Former FINRA Employees Who Previously Worked as Hearing Officers2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16101Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16101.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16100.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Exclude the Date of the Annual Reconstitution of the Russell Investments Indexes for Billing Purposes When Calculating ETP Holder Average Daily Volume of Trade Activity and Consolidated ADV2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16100.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16099.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating To EMIR Requirements2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16099Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16099.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16098.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending Rules Governing the Short Term Option Series Program2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16098Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16098.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16097.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Rule 5305 To Eliminate the Automatic Transfer of Companies From The NASDAQ Global Market to The NASDAQ Global Select Market2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16097Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16097.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16096.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16096.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16095.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Its Pilot Program Regarding Minimum Value Sizes for Opening Transactions in New Series of Flexible Exchange Options and Establish New Minimum Value Sizes Applicable to Other FLEX Transactions and FLEX Quotes2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16095Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16095.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16094.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 Schedule2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16094Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16094.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16093.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 Schedule2014-07-10T00:00:00-07:002014-07-10T00:00:00-07:002014-16093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16093.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16107.htmlNotice - Sunshine Act Meetings2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-16107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16107.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16048.htmlNotice - 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 Rules2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-16048Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16048.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16047.htmlNotice - 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 Rules2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-16047Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16047.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16046.htmlNotice - 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 Fund2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-16046Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16046.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16045.htmlNotice - 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 Contracts2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-16045Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16045.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16040.htmlNotice - Proposed Collection; Comment Request2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-16040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16040.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-16039.htmlNotice - Submission for OMB Review; Comment Request2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-16039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-16039.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15971.htmlNotice - BMO Funds, Inc., et al.; Notice of Application2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15971.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15970.htmlNotice - Janus Investment Fund, et al.; Notice of Application2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15970.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15969.htmlNotice - KraneShares Trust and Krane Funds Advisors, LLC; Notice of Application2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15969.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15968.htmlNotice - Proposed Collection; Comment Request2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15968.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15967.htmlNotice - Proposed Collection; Comment Request2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15967.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15966.htmlNotice - Proposed Collection; Comment Request2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15966.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15965.htmlNotice - Proposed Collection; Comment Request2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15965.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15964.htmlNotice - 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 8.6002014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15964.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15963.htmlNotice - 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 Dealers2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15963.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15962.htmlNotice - 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 .022014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15962Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15962.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15961.htmlNotice - 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)2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15961.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15960.htmlNotice - 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”2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15960.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/09/2014-15337.htmlRule - Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities2014-07-09T00:00:00-07:002014-07-09T00:00:00-07:002014-15337Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-09/pdf/2014-15337.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15841.htmlRule - Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 19342014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15841Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15841.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15818.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Withdrawal of Proposed Rule Changes To Establish an Institutional Liquidity Program on a One-Year Pilot Basis2014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15818.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15817.htmlNotice - Solar Capital Ltd., et al.; Notice of Application2014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15817.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15816.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List To Add Certain Charges for Hosting Equipment To Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 20152014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15816.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15815.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List To Add Certain Charges for Hosting Equipment To Support Internet Connections for Member Organizations Operating on the Floor of the Exchange Starting January 1, 20152014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15815.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15814.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of PIMCO Short-Term Exchange-Traded Fund and PIMCO Municipal Bond Exchange-Traded Fund Under NYSE Arca Equities Rule 8.6002014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15814Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15814.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15813.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86 To Extend the Hours for the Core Bond Trading Session for NYSE Bonds SM2014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15813Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15813.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15794.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval 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 IV2014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15794.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15793.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program2014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15793Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15793.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15792.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Market Maker Quoting Obligations and the Introduction of a Lead Market Maker2014-07-08T00:00:00-07:002014-07-08T00:00:00-07:002014-15792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15792.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15796.htmlNotice - Duncan Family Office; Notice of Application2014-07-07T00:00:00-07:002014-07-07T00:00:00-07:002014-15796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15796.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15795.htmlNotice - Gruss & Co. Inc.; Notice of Application2014-07-07T00:00:00-07:002014-07-07T00:00:00-07:002014-15795Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15795.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15737.htmlNotice - BNP Paribas S.A., et al.; Notice of Application and Temporary Order2014-07-07T00:00:00-07:002014-07-07T00:00:00-07:002014-15737Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15737.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15723.htmlNotice - Submission for OMB Review; Comment Request2014-07-07T00:00:00-07:002014-07-07T00:00:00-07:002014-15723Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15723.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15722.htmlNotice - Submission for OMB Review; Comment Request2014-07-07T00:00:00-07:002014-07-07T00:00:00-07:002014-15722Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15722.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15721.htmlNotice - Submission for OMB Review; Comment Request2014-07-07T00:00:00-07:002014-07-07T00:00:00-07:002014-15721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15721.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15720.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Quote Risk Monitor Mechanism2014-07-07T00:00:00-07:002014-07-07T00:00:00-07:002014-15720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15720.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15719.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing of Proposed Rule Change to the Interpretive Notice to NFA Compliance Rules 2-4 and 2-36: Prohibition on the Use of Certain Electronic Funding Mechanisms2014-07-07T00:00:00-07:002014-07-07T00:00:00-07:002014-15719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15719.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15718.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of a Proposed Rule Change To Update OCX's Rulebook for a Filing Previously Made With the Commodity Futures Trading Commission2014-07-07T00:00:00-07:002014-07-07T00:00:00-07:002014-15718Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15718.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15666.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402014-07-03T00:00:00-07:002014-07-03T00:00:00-07:002014-15666Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15666.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15610.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 the Shares of the Arrow DWA Balanced ETF, Arrow DWA Tactical ETF and Arrow DWA Tactical Yield ETF of Arrow Investments Trust2014-07-03T00:00:00-07:002014-07-03T00:00:00-07:002014-15610Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15610.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15609.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change To Amend Rule 24.192014-07-03T00:00:00-07:002014-07-03T00:00:00-07:002014-15609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15609.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15608.htmlNotice - Self-Regulatory Organizations: Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange LLC To List and Trade Options on Shares of the iShare ETFs2014-07-03T00:00:00-07:002014-07-03T00:00:00-07:002014-15608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15608.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15607.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator2014-07-03T00:00:00-07:002014-07-03T00:00:00-07:002014-15607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15607.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15606.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rule 720A2014-07-03T00:00:00-07:002014-07-03T00:00:00-07:002014-15606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15606.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15605.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rule 720A2014-07-03T00:00:00-07:002014-07-03T00:00:00-07:002014-15605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15605.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15604.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Broaden the Scope of the Licensing and Appointments Service and To Amend NSCC's Fee Structure2014-07-03T00:00:00-07:002014-07-03T00:00:00-07:002014-15604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15604.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15478.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)2014-07-02T00:00:00-07:002014-07-02T00:00:00-07:002014-15478Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15478.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15477.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Options Exercise Procedures2014-07-02T00:00:00-07:002014-07-02T00:00:00-07:002014-15477Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15477.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15476.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretive Material to Rule 5050 (Series of Options Contracts Open for Trading) and Rule 6090 (Terms of Index Options Contracts) To Introduce Finer Strike Price Intervals for Standard Expiration Contracts in Option Classes That Also Have Short Term Options Listed on Them2014-07-02T00:00:00-07:002014-07-02T00:00:00-07:002014-15476Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15476.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15475.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Strike Settings for Mini-S&P 500 Index Options2014-07-02T00:00:00-07:002014-07-02T00:00:00-07:002014-15475Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15475.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15474.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Increase Arbitrator Honoraria and Increase Certain Arbitration Fees2014-07-02T00:00:00-07:002014-07-02T00:00:00-07:002014-15474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15474.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15473.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Collateral Acceptance Practices for Products in the Base Guaranty Fund2014-07-02T00:00:00-07:002014-07-02T00:00:00-07:002014-15473Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15473.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15472.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt New Trade Allocation Algorithms for Matching Trades at the Conclusion of the PIP and COPIP2014-07-02T00:00:00-07:002014-07-02T00:00:00-07:002014-15472Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15472.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15354.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule by Adopting Fees and Rebates for a New Electronic Crossing Mechanism Called the CUBE Auction2014-07-01T00:00:00-07:002014-07-01T00:00:00-07:002014-15354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15354.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15332.htmlNotice - Rothschild Larch Lane Management Company LLC and The Advisors' Inner Circle Fund III; Notice of Application2014-07-01T00:00:00-07:002014-07-01T00:00:00-07:002014-15332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15332.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15329.htmlNotice - USCF Equity Trust, et al.; Notice of Application2014-07-01T00:00:00-07:002014-07-01T00:00:00-07:002014-15329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15329.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15328.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Withdrawal of Proposed Rule Change To Delete the PHOTO Historical Data Product From Section IX of the Exchange's Options Fee Schedule2014-07-01T00:00:00-07:002014-07-01T00:00:00-07:002014-15328Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15328.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15327.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change as Modified by Amendment No. 1 To Amend Certain Margin Rules for Volatility Index Options2014-07-01T00:00:00-07:002014-07-01T00:00:00-07:002014-15327Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15327.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15326.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program2014-07-01T00:00:00-07:002014-07-01T00:00:00-07:002014-15326Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15326.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15325.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program2014-07-01T00:00:00-07:002014-07-01T00:00:00-07:002014-15325Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15325.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15324.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to Its OTC IRS Fee Schedule2014-07-01T00:00:00-07:002014-07-01T00:00:00-07:002014-15324Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15324.pdfhttps://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15323.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Governing the Continued Listing and Trading of Shares of the PowerShares Insured California Municipal Bond Portfolio, PowerShares Insured National Municipal Bond Portfolio, and PowerShares Insured New York Municipal Bond Portfolio2014-07-01T00:00:00-07:002014-07-01T00:00:00-07:002014-15323Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15323.pdf