Securities and Exchange Commission August 15, 2014 – Federal Register Recent Federal Regulation Documents

Results 1 - 10 of 10
Principal Funds, Inc., et al.; Notice of Application
Document Number: 2014-19338
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would amend and supersede a prior order (the ``Non-Affiliated Sub-Adviser Order'') \1\ that permits them to enter into and materially amend subadvisory agreements for certain multi-managed funds with non- affiliated sub-advisers without shareholder approval and grants relief from certain disclosure requirements. The requested order would permit applicants to enter into, and amend, such agreements with Wholly-Owned Sub-Advisers (as defined below) and non-affiliated sub-advisers without shareholder approval.
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19338.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7051 Fees Relating to Pricing for Direct Circuit Connections
Document Number: 2014-19337
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19337.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program Under Rule 7014, and the Schedule of Fees and Rebates Under Rule 7018
Document Number: 2014-19336
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19336.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a 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
Document Number: 2014-19335
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19335.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program
Document Number: 2014-19334
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19334.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options
Document Number: 2014-19333
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19333.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Modify the Tier 2 Adding Credit
Document Number: 2014-19332
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19332.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice To Permit OCC To Adjust the Size of Its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month
Document Number: 2014-19331
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19331.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice To Better Manage Risks Concentration and Other Risks Associated With Accepting Deposits of Common Stocks for Margin Purposes
Document Number: 2014-19330
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19330.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Standard Emerging European and Middle Eastern Sovereign Single Names
Document Number: 2014-19329
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19329.html
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