<![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?registers=between&min-day=1&max-day=31 Sat, 27 Apr 2024 16:31:47 -0700 Sat, 27 Apr 2024 16:31:47 -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?registers=between&min-day=1&max-day=31 Notice - 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 Exercised https://regulations.justia.com/regulations/fedreg/2014/07/31/2014-18038.html https://regulations.justia.com/regulations/fedreg/2014/07/31/2014-18038.html Thu, 31 Jul 2014 00:00:00 -0700 2014-18038 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-31/pdf/2014-18038.pdf Notice - 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 Instructions https://regulations.justia.com/regulations/fedreg/2014/07/31/2014-17989.html https://regulations.justia.com/regulations/fedreg/2014/07/31/2014-17989.html Thu, 31 Jul 2014 00:00:00 -0700 2014-17989 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-31/pdf/2014-17989.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire the EDGE Routed Liquidity Report https://regulations.justia.com/regulations/fedreg/2014/07/31/2014-17988.html https://regulations.justia.com/regulations/fedreg/2014/07/31/2014-17988.html Thu, 31 Jul 2014 00:00:00 -0700 2014-17988 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-31/pdf/2014-17988.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire the EDGE Routed Liquidity Report https://regulations.justia.com/regulations/fedreg/2014/07/31/2014-17987.html https://regulations.justia.com/regulations/fedreg/2014/07/31/2014-17987.html Thu, 31 Jul 2014 00:00:00 -0700 2014-17987 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-31/pdf/2014-17987.pdf Notice - Steben Alternative Investment Funds and Steben & Company, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17883.html https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17883.html Wed, 30 Jul 2014 00:00:00 -0700 2014-17883 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17883.pdf Notice - 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 Companies https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17882.html https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17882.html Wed, 30 Jul 2014 00:00:00 -0700 2014-17882 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17882.pdf Notice - 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 Holder https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17881.html https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17881.html Wed, 30 Jul 2014 00:00:00 -0700 2014-17881 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17881.pdf Notice - 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 Fund https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17880.html https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17880.html Wed, 30 Jul 2014 00:00:00 -0700 2014-17880 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17880.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17879.html https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17879.html Wed, 30 Jul 2014 00:00:00 -0700 2014-17879 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17879.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17878.html https://regulations.justia.com/regulations/fedreg/2014/07/30/2014-17878.html Wed, 30 Jul 2014 00:00:00 -0700 2014-17878 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-30/pdf/2014-17878.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17778.html https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17778.html Tue, 29 Jul 2014 00:00:00 -0700 2014-17778 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17778.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17777.html https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17777.html Tue, 29 Jul 2014 00:00:00 -0700 2014-17777 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17777.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17776.html https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17776.html Tue, 29 Jul 2014 00:00:00 -0700 2014-17776 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17776.pdf Notice - The New Ireland Fund, Inc. and Kleinwort Benson Investors International Ltd.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17775.html https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17775.html Tue, 29 Jul 2014 00:00:00 -0700 2014-17775 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17775.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17774.html https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17774.html Tue, 29 Jul 2014 00:00:00 -0700 2014-17774 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17774.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Bandwidth Allowance https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17773.html https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17773.html Tue, 29 Jul 2014 00:00:00 -0700 2014-17773 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17773.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Implement a New Scorecard Feature to the Mutual Fund Profile Service https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17772.html https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17772.html Tue, 29 Jul 2014 00:00:00 -0700 2014-17772 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17772.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17748.html https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17748.html Tue, 29 Jul 2014 00:00:00 -0700 2014-17748 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17748.pdf Notice - 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 Reference https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17638.html https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17638.html Tue, 29 Jul 2014 00:00:00 -0700 2014-17638 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-29/pdf/2014-17638.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17810.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17810.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17810 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17810.pdf Notice - TrimTabs Asset Management, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17655.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17655.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17655 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17655.pdf Notice - 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 M https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17641.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17641.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17641 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17641.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17640.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17640.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17640 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17640.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17639.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17639.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17639 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17639.pdf Notice - Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17617.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17617.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17617 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17617.pdf Notice - 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 Information https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17614.html https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17614.html Mon, 28 Jul 2014 00:00:00 -0700 2014-17614 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-28/pdf/2014-17614.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17516.html https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17516.html Fri, 25 Jul 2014 00:00:00 -0700 2014-17516 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-25/pdf/2014-17516.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17515.html https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17515.html Fri, 25 Jul 2014 00:00:00 -0700 2014-17515 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-25/pdf/2014-17515.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17514.html https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17514.html Fri, 25 Jul 2014 00:00:00 -0700 2014-17514 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-25/pdf/2014-17514.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17513.html https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17513.html Fri, 25 Jul 2014 00:00:00 -0700 2014-17513 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-25/pdf/2014-17513.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17401.html https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17401.html Thu, 24 Jul 2014 00:00:00 -0700 2014-17401 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-24/pdf/2014-17401.pdf Notice - 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 Standards https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17400.html https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17400.html Thu, 24 Jul 2014 00:00:00 -0700 2014-17400 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-24/pdf/2014-17400.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17399.html https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17399.html Thu, 24 Jul 2014 00:00:00 -0700 2014-17399 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-24/pdf/2014-17399.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17398.html https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17398.html Thu, 24 Jul 2014 00:00:00 -0700 2014-17398 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-24/pdf/2014-17398.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17282.html https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17282.html Wed, 23 Jul 2014 00:00:00 -0700 2014-17282 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17282.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17281.html https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17281.html Wed, 23 Jul 2014 00:00:00 -0700 2014-17281 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17281.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17280.html https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17280.html Wed, 23 Jul 2014 00:00:00 -0700 2014-17280 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17280.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17279.html https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17279.html Wed, 23 Jul 2014 00:00:00 -0700 2014-17279 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17279.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17278.html https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17278.html Wed, 23 Jul 2014 00:00:00 -0700 2014-17278 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17278.pdf Notice - FundVantage Trust, et al. https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17270.html https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17270.html Wed, 23 Jul 2014 00:00:00 -0700 2014-17270 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17270.pdf Notice - Stellus Capital Investment Corporation, et al.; https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17267.html https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17267.html Wed, 23 Jul 2014 00:00:00 -0700 2014-17267 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17267.pdf Notice - 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 1070 https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17266.html https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17266.html Wed, 23 Jul 2014 00:00:00 -0700 2014-17266 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17266.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17265.html https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17265.html Wed, 23 Jul 2014 00:00:00 -0700 2014-17265 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-23/pdf/2014-17265.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17188.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17188.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17188 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17188.pdf Notice - In the Matter of Cubed, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17186.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17186.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17186 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17186.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17142.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17142.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17142 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17142.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17141.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17141.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17141 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17141.pdf Notice - 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 IV https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17034.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17034.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17034 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17034.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17020.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17020.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17020 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17020.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17019.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17019.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17019 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17019.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17018.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17018.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17018 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17018.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17017.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17017.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17017 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17017.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17016.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17016.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17016 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17016.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17015.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17015.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17015 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17015.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17014.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17014.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17014 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17014.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/2014/07/21/2014-17013.html https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17013.html Mon, 21 Jul 2014 00:00:00 -0700 2014-17013 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-21/pdf/2014-17013.pdf Notice - In the Matter of: Natural Blue Resources, Inc., File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-17036.html https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-17036.html Fri, 18 Jul 2014 00:00:00 -0700 2014-17036 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-18/pdf/2014-17036.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-17035.html https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-17035.html Fri, 18 Jul 2014 00:00:00 -0700 2014-17035 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-18/pdf/2014-17035.pdf Notice - 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 Participants https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-16888.html https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-16888.html Fri, 18 Jul 2014 00:00:00 -0700 2014-16888 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-18/pdf/2014-16888.pdf Notice - 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 PSX https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-16887.html https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-16887.html Fri, 18 Jul 2014 00:00:00 -0700 2014-16887 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-18/pdf/2014-16887.pdf Notice - 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 Reports https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16824.html https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16824.html Thu, 17 Jul 2014 00:00:00 -0700 2014-16824 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-17/pdf/2014-16824.pdf Notice - 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 807 https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16787.html https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16787.html Thu, 17 Jul 2014 00:00:00 -0700 2014-16787 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-17/pdf/2014-16787.pdf Notice - 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 Credit https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16786.html https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16786.html Thu, 17 Jul 2014 00:00:00 -0700 2014-16786 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-17/pdf/2014-16786.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16785.html https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16785.html Thu, 17 Jul 2014 00:00:00 -0700 2014-16785 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-17/pdf/2014-16785.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16665.html https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16665.html Wed, 16 Jul 2014 00:00:00 -0700 2014-16665 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16665.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16664.html https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16664.html Wed, 16 Jul 2014 00:00:00 -0700 2014-16664 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16664.pdf Notice - 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 References https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16653.html https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16653.html Wed, 16 Jul 2014 00:00:00 -0700 2014-16653 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16653.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16652.html https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16652.html Wed, 16 Jul 2014 00:00:00 -0700 2014-16652 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16652.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16651.html https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16651.html Wed, 16 Jul 2014 00:00:00 -0700 2014-16651 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16651.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16650.html https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16650.html Wed, 16 Jul 2014 00:00:00 -0700 2014-16650 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16650.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16649.html https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16649.html Wed, 16 Jul 2014 00:00:00 -0700 2014-16649 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16649.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees and Rebates for Various Options https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16648.html https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16648.html Wed, 16 Jul 2014 00:00:00 -0700 2014-16648 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16648.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16647.html https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16647.html Wed, 16 Jul 2014 00:00:00 -0700 2014-16647 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-16/pdf/2014-16647.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16697.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16697.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16697 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16697.pdf Notice - In The Matter of Cynk Technology Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16693.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16693.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16693 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16693.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to EMIR Requirements https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16542.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16542.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16542 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16542.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Modify the Receiver Authorized Deliver and Reclaim Processing Value Limits by Transaction https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16502.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16502.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16502 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16502.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16501.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16501.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16501 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16501.pdf Notice - 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 Ways https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16500.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16500.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16500 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16500.pdf Notice - 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 Company https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16499.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16499.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16499 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16499.pdf Notice - 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 Share https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16498.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16498.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16498 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16498.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16497.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16497.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16497 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16497.pdf Notice - 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, 2015 https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16496.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16496.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16496 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16496.pdf Notice - 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, 2015 https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16495.html https://regulations.justia.com/regulations/fedreg/2014/07/15/2014-16495.html Tue, 15 Jul 2014 00:00:00 -0700 2014-16495 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-15/pdf/2014-16495.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16518.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16518.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16518 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16518.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16373.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16373.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16373 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16373.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16372.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16372.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16372 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16372.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16371.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16371.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16371 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16371.pdf Notice - 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 Directors https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16370.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16370.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16370 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16370.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16369.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16369.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16369 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16369.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE ArcaBook https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16368.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16368.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16368 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16368.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16367.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16367.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16367 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16367.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16366.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16366.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16366 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16366.pdf Notice - 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 Resource https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16365.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16365.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16365 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16365.pdf Notice - 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 Holders https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16364.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16364.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16364 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16364.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Price Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16363.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16363.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16363 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16363.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Price Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16362.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16362.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16362 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16362.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Regarding Investment Losses and Non-Default Losses https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16361.html https://regulations.justia.com/regulations/fedreg/2014/07/14/2014-16361.html Mon, 14 Jul 2014 00:00:00 -0700 2014-16361 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-14/pdf/2014-16361.pdf Notice - 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 Directors https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16193.html https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16193.html Fri, 11 Jul 2014 00:00:00 -0700 2014-16193 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16193.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16192.html https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16192.html Fri, 11 Jul 2014 00:00:00 -0700 2014-16192 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16192.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16191.html https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16191.html Fri, 11 Jul 2014 00:00:00 -0700 2014-16191 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16191.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16190.html https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16190.html Fri, 11 Jul 2014 00:00:00 -0700 2014-16190 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16190.pdf Notice - 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 PSX https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16189.html https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16189.html Fri, 11 Jul 2014 00:00:00 -0700 2014-16189 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16189.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16188.html https://regulations.justia.com/regulations/fedreg/2014/07/11/2014-16188.html Fri, 11 Jul 2014 00:00:00 -0700 2014-16188 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-11/pdf/2014-16188.pdf Notice - American Capital, Ltd., et al.; https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16103.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16103.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16103 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16103.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change to CDS Policies Relating to EMIR https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16102.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16102.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16102 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16102.pdf Notice - 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 Officers https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16101.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16101.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16101 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16101.pdf Notice - 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 ADV https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16100.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16100.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16100 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16100.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating To EMIR Requirements https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16099.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16099.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16099 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16099.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16098.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16098.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16098 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16098.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16097.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16097.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16097 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16097.pdf Notice - 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 Quotes https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16096.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16096.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16096 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16096.pdf Notice - 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 Quotes https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16095.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16095.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16095 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16095.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16094.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16094.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16094 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16094.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16093.html https://regulations.justia.com/regulations/fedreg/2014/07/10/2014-16093.html Thu, 10 Jul 2014 00:00:00 -0700 2014-16093 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-10/pdf/2014-16093.pdf 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 Rule - Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15841.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15841.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15841 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15841.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15818.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15818.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15818 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15818.pdf Notice - Solar Capital Ltd., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15817.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15817.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15817 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15817.pdf Notice - 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, 2015 https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15816.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15816.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15816 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15816.pdf Notice - 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, 2015 https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15815.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15815.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15815 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15815.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15814.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15814.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15814 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15814.pdf Notice - 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 SM https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15813.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15813.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15813 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15813.pdf Notice - 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 IV https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15794.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15794.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15794 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15794.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15793.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15793.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15793 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15793.pdf Notice - 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 Maker https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15792.html https://regulations.justia.com/regulations/fedreg/2014/07/08/2014-15792.html Tue, 08 Jul 2014 00:00:00 -0700 2014-15792 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-08/pdf/2014-15792.pdf Notice - Duncan Family Office; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15796.html https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15796.html Mon, 07 Jul 2014 00:00:00 -0700 2014-15796 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15796.pdf Notice - Gruss & Co. Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15795.html https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15795.html Mon, 07 Jul 2014 00:00:00 -0700 2014-15795 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15795.pdf Notice - BNP Paribas S.A., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15737.html https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15737.html Mon, 07 Jul 2014 00:00:00 -0700 2014-15737 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15737.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15723.html https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15723.html Mon, 07 Jul 2014 00:00:00 -0700 2014-15723 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15723.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15722.html https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15722.html Mon, 07 Jul 2014 00:00:00 -0700 2014-15722 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15722.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15721.html https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15721.html Mon, 07 Jul 2014 00:00:00 -0700 2014-15721 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15721.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15720.html https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15720.html Mon, 07 Jul 2014 00:00:00 -0700 2014-15720 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15720.pdf Notice - 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 Mechanisms https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15719.html https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15719.html Mon, 07 Jul 2014 00:00:00 -0700 2014-15719 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15719.pdf Notice - 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 Commission https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15718.html https://regulations.justia.com/regulations/fedreg/2014/07/07/2014-15718.html Mon, 07 Jul 2014 00:00:00 -0700 2014-15718 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-07/pdf/2014-15718.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15666.html https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15666.html Thu, 03 Jul 2014 00:00:00 -0700 2014-15666 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15666.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15610.html https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15610.html Thu, 03 Jul 2014 00:00:00 -0700 2014-15610 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15610.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change To Amend Rule 24.19 https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15609.html https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15609.html Thu, 03 Jul 2014 00:00:00 -0700 2014-15609 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15609.pdf Notice - 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 ETFs https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15608.html https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15608.html Thu, 03 Jul 2014 00:00:00 -0700 2014-15608 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15608.pdf Notice - 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 Arbitrator https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15607.html https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15607.html Thu, 03 Jul 2014 00:00:00 -0700 2014-15607 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15607.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rule 720A https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15606.html https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15606.html Thu, 03 Jul 2014 00:00:00 -0700 2014-15606 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15606.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Rule 720A https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15605.html https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15605.html Thu, 03 Jul 2014 00:00:00 -0700 2014-15605 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15605.pdf Notice - 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 Structure https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15604.html https://regulations.justia.com/regulations/fedreg/2014/07/03/2014-15604.html Thu, 03 Jul 2014 00:00:00 -0700 2014-15604 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-03/pdf/2014-15604.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15478.html https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15478.html Wed, 02 Jul 2014 00:00:00 -0700 2014-15478 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15478.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Options Exercise Procedures https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15477.html https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15477.html Wed, 02 Jul 2014 00:00:00 -0700 2014-15477 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15477.pdf Notice - 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 Them https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15476.html https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15476.html Wed, 02 Jul 2014 00:00:00 -0700 2014-15476 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15476.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15475.html https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15475.html Wed, 02 Jul 2014 00:00:00 -0700 2014-15475 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15475.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15474.html https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15474.html Wed, 02 Jul 2014 00:00:00 -0700 2014-15474 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15474.pdf Notice - 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 Fund https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15473.html https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15473.html Wed, 02 Jul 2014 00:00:00 -0700 2014-15473 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15473.pdf Notice - 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 COPIP https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15472.html https://regulations.justia.com/regulations/fedreg/2014/07/02/2014-15472.html Wed, 02 Jul 2014 00:00:00 -0700 2014-15472 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-02/pdf/2014-15472.pdf Notice - 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 Auction https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15354.html https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15354.html Tue, 01 Jul 2014 00:00:00 -0700 2014-15354 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15354.pdf Notice - Rothschild Larch Lane Management Company LLC and The Advisors' Inner Circle Fund III; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15332.html https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15332.html Tue, 01 Jul 2014 00:00:00 -0700 2014-15332 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15332.pdf Notice - USCF Equity Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15329.html https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15329.html Tue, 01 Jul 2014 00:00:00 -0700 2014-15329 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15329.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15328.html https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15328.html Tue, 01 Jul 2014 00:00:00 -0700 2014-15328 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15328.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15327.html https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15327.html Tue, 01 Jul 2014 00:00:00 -0700 2014-15327 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15327.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15326.html https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15326.html Tue, 01 Jul 2014 00:00:00 -0700 2014-15326 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15326.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15325.html https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15325.html Tue, 01 Jul 2014 00:00:00 -0700 2014-15325 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15325.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to Its OTC IRS Fee Schedule https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15324.html https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15324.html Tue, 01 Jul 2014 00:00:00 -0700 2014-15324 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15324.pdf Notice - 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 Portfolio https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15323.html https://regulations.justia.com/regulations/fedreg/2014/07/01/2014-15323.html Tue, 01 Jul 2014 00:00:00 -0700 2014-15323 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-07-01/pdf/2014-15323.pdf