Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/08/05?limit=200&registers=between&mode=atom 2021-09-21T22:29:52-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18537.html Notice - Sunshine Act Meeting 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18537 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18537.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18438.html Notice - Proposed Collection; Comment Request 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18438 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18438.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18437.html Notice - Proposed Collection; Comment Request 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18437 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18437.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18435.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Related to Co-Location Services 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18435 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18435.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18434.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services, Related to Co-Location Services 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18434 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18434.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18433.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule, Related to Co-Location Services 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18433 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18433.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18432.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options To Increase the Likelihood That Erroneous Trades Will Be Identified and Voided 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18432 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18432.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18431.html 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 First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18431 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18431.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18430.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Better Manage Risks Concentration and Other Risks Associated With Accepting Deposits of Common Stocks for Margin Purposes 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18430 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18430.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18389.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Listing and Trading of Shares of the NASDAQ-100 DIVS Index ETF Under Rule 5705 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18389 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18389.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18388.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 4 Thereto, Relating to Listing and Trading of Shares of the Reality Shares DIVS Index ETF under NYSE Arca Equities Rule 5.2(j)(3) 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18388 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18388.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18387.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18387 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18387.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18386.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Disclose Publicly the Sources of Data Used for Exchange Functions 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18386 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18386.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18385.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Use of Market Data Feeds by the Exchange 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18385 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18385.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18384.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18384 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18384.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18383.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18383 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18383.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18382.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange's Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18382 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18382.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18381.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18381 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18381.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18380.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18380 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18380.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18379.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rule 24.19 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18379 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18379.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18378.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca, Inc.'s Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18378 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18378.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18377.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise Rules To Provide for the 2014 ISDA Definitions 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18377 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18377.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18376.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18376 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18376.pdf https://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18375.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series 2014-08-05T00:00:00-07:00 2014-08-05T00:00:00-07:00 2014-18375 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18375.pdf