Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-18T13:56:06-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20768.htmlNotice - In the Matter of Xinde Technology Company; Order of Suspension of Trading2014-08-29T00:00:00-07:002014-08-29T00:00:00-07:002014-20768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20768.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20753.htmlNotice - In the Matter of China Wood, Inc., Order of Suspension of Trading2014-08-29T00:00:00-07:002014-08-29T00:00:00-07:002014-20753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20753.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20737.htmlNotice - In the Matter of Clavis Technologies International Co., Ltd.; Order of Suspension of Trading2014-08-29T00:00:00-07:002014-08-29T00:00:00-07:002014-20737Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20737.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20736.htmlNotice - In the Matter of Gold Horse International, Inc.; Order of Suspension of Trading2014-08-29T00:00:00-07:002014-08-29T00:00:00-07:002014-20736Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20736.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20559.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Volume Discount for the Bulk Purchase of Aged Reports Within the Category of Historical Research and Administrative Reports Under NASDAQ Rule 70222014-08-29T00:00:00-07:002014-08-29T00:00:00-07:002014-20559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20559.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20558.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a General Prohibition Against Affiliation Between the Exchange and any Participant2014-08-29T00:00:00-07:002014-08-29T00:00:00-07:002014-20558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20558.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20557.htmlNotice - Self-Regulatory Organization; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Government Securities Division Rulebook in Order To Establish an Early Unwind Intraday Charge in Connection With the Inclusion of GCF Repo® Positions in GSD's Intraday Participant Clearing Fund Requirement, and GSD's Hourly Internal Surveillance Cycles2014-08-29T00:00:00-07:002014-08-29T00:00:00-07:002014-20557Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20557.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/28/2014-20468.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2014-08-28T00:00:00-07:002014-08-28T00:00:00-07:002014-20468Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-28/pdf/2014-20468.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/28/2014-20467.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2014-08-28T00:00:00-07:002014-08-28T00:00:00-07:002014-20467Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-28/pdf/2014-20467.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/28/2014-20466.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and To List and Trade Shares of the ActiveSharesSM2014-08-28T00:00:00-07:002014-08-28T00:00:00-07:002014-20466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-28/pdf/2014-20466.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/28/2014-20465.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Rule 5305 To Eliminate the Automatic Transfer of Companies From The NASDAQ Global Market to The NASDAQ Global Select Market2014-08-28T00:00:00-07:002014-08-28T00:00:00-07:002014-20465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-28/pdf/2014-20465.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20469.htmlNotice - Sunshine Act Meeting2014-08-27T00:00:00-07:002014-08-27T00:00:00-07:002014-20469Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20469.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20343.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade WBI SMID Tactical Growth Shares; WBI SMID Tactical Value Shares; WBI SMID Tactical Yield Shares; WBI SMID Tactical Select Shares; WBI Large Cap Tactical Growth Shares; WBI Large Cap Tactical Value Shares; WBI Large Cap Tactical Yield Shares; WBI Large Cap Tactical Select Shares; WBI Tactical Income Shares; and WBI Tactical High Income Shares Under NYSE Arca Equities Rule 8.6002014-08-27T00:00:00-07:002014-08-27T00:00:00-07:002014-20343Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20343.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20342.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13-Equities To Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders2014-08-27T00:00:00-07:002014-08-27T00:00:00-07:002014-20342Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20342.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20341.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 13 To Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders2014-08-27T00:00:00-07:002014-08-27T00:00:00-07:002014-20341Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20341.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20340.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 24.192014-08-27T00:00:00-07:002014-08-27T00:00:00-07:002014-20340Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20340.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20339.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short-Term Option Series Program To Introduce Finer Strike Price Intervals for Related Non-Short Term Options2014-08-27T00:00:00-07:002014-08-27T00:00:00-07:002014-20339Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20339.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20338.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86-Equities To Extend the Hours for the Core Bond Trading Session for NYSE MKT Bonds2014-08-27T00:00:00-07:002014-08-27T00:00:00-07:002014-20338Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20338.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20337.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short-Term Option Series Program To Introduce Finer Strike Price Intervals for Related Non-Short Term Options2014-08-27T00:00:00-07:002014-08-27T00:00:00-07:002014-20337Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20337.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20211.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 Regarding the Short Term Option Series Program2014-08-26T00:00:00-07:002014-08-26T00:00:00-07:002014-20211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20211.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20210.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 802.H2014-08-26T00:00:00-07:002014-08-26T00:00:00-07:002014-20210Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20210.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20209.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Market Maker Quoting Obligations and the Introduction of a Lead Market Maker2014-08-26T00:00:00-07:002014-08-26T00:00:00-07:002014-20209Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20209.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20208.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of PIMCO Short-Term Exchange-Traded Fund and PIMCO Municipal Bond Exchange-Traded Fund Under NYSE Arca Equities Rule 8.6002014-08-26T00:00:00-07:002014-08-26T00:00:00-07:002014-20208Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20208.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20207.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9(f) of BATS Y-Exchange, Inc.2014-08-26T00:00:00-07:002014-08-26T00:00:00-07:002014-20207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20207.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20206.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Y-Exchange, Inc.2014-08-26T00:00:00-07:002014-08-26T00:00:00-07:002014-20206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20206.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20205.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Rules 11.9(f) and 21.1(g) of BATS Exchange, Inc.2014-08-26T00:00:00-07:002014-08-26T00:00:00-07:002014-20205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20205.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20203.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Exchange, Inc.2014-08-26T00:00:00-07:002014-08-26T00:00:00-07:002014-20203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20203.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20091.htmlNotice - Persimmon Capital Management LP and Northern Lights Fund Trust III; Notice of Application2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20091Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20091.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20090.htmlNotice - American Fidelity Assurance Company, et al.; Notice of Application2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20090Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20090.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20089.htmlNotice - Submission for OMB Review; Comment Request2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20089Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20089.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20088.htmlNotice - Submission for OMB Review; Comment Request2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20088Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20088.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20087.htmlNotice - Submission for OMB Review; Comment Request2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20087Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20087.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20086.htmlNotice - Submission for OMB Review; Comment Request2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20086Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20086.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20085.htmlNotice - Submission for OMB Review; Comment Request2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20085Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20085.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20084.htmlNotice - Submission for OMB Review; Comment Request2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20084.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20083.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether To Approve or Disapprove Proposed Rule Change Relating to Listing and Trading of Shares of the PIMCO Income Exchange-Traded Fund Under NYSE Arca Equities Rule 8.6002014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20083.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20082.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change Relating to Trade Nullification and Price Adjustment2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20082.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20081.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20081.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20080.htmlNotice - Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.70 to Make the Rule Applicable to All Transactions on the Exchange2014-08-25T00:00:00-07:002014-08-25T00:00:00-07:002014-20080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20080.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/22/C1-2014-19482.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Fee Schedule2014-08-22T00:00:00-07:002014-08-22T00:00:00-07:00C1-2014-19482Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/C1-2014-19482.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/22/2014-20112.htmlNotice - In the Matter of ATP Oil & Gas Corp., Cambridge Holdings, Ltd., FTE Networks, Inc., Raystream, Inc., and Shelron Group, Inc.; Order of Suspension of Trading2014-08-22T00:00:00-07:002014-08-22T00:00:00-07:002014-20112Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/2014-20112.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/22/2014-20110.htmlNotice - International Building Technologies Group, Inc., Regeneca, Inc., Retail Pro, Inc., and Tri-Valley Corporation, Order of Suspension of Trading2014-08-22T00:00:00-07:002014-08-22T00:00:00-07:002014-20110Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/2014-20110.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/22/2014-19914.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities2014-08-22T00:00:00-07:002014-08-22T00:00:00-07:002014-19914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/2014-19914.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/22/2014-19913.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 332 of the NYSE MKT Company Guide To Provide That Listed Companies Should Pay Listing Fees Due in Connection With the Listing of Additional Securities in the Manner Specified in the Exchange's Invoice2014-08-22T00:00:00-07:002014-08-22T00:00:00-07:002014-19913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/2014-19913.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/21/2014-19965.htmlNotice - In the Matter of Balaton Power, Inc. and Flying Eagle PU Technical Corp. (f/k/a Sooner Holdings, Inc.); Order of Suspension of Trading2014-08-21T00:00:00-07:002014-08-21T00:00:00-07:002014-19965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-21/pdf/2014-19965.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/21/2014-19808.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2014-08-21T00:00:00-07:002014-08-21T00:00:00-07:002014-19808Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-21/pdf/2014-19808.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/21/2014-19807.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings2014-08-21T00:00:00-07:002014-08-21T00:00:00-07:002014-19807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-21/pdf/2014-19807.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/21/2014-19806.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 To List and Trade Shares of the PIMCO Foreign Bond Exchange-Traded Fund (U.S. Dollar-Hedged), PIMCO Foreign Bond Exchange-Traded Fund (Unhedged), PIMCO Global Advantage Bond Exchange-Traded Fund, and PIMCO International Advantage Bond Exchange-Traded Fund2014-08-21T00:00:00-07:002014-08-21T00:00:00-07:002014-19806Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-21/pdf/2014-19806.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19706.htmlNotice - Fifth Street Finance Corp. et al.; Notice of Application2014-08-20T00:00:00-07:002014-08-20T00:00:00-07:002014-19706Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19706.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19705.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the 2014 ISDA Credit Derivatives Definitions2014-08-20T00:00:00-07:002014-08-20T00:00:00-07:002014-19705Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19705.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19704.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Granting Approval of a Proposed Rule Change To Adopt New Trade Allocation Algorithms for Matching Trades at the Conclusion of the PIP and the COPIP2014-08-20T00:00:00-07:002014-08-20T00:00:00-07:002014-19704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19704.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19703.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change (1) to Reflect a Change to the Value Used by the iShares Silver Trust, ETFS Silver Trust, ETFS White Metals Basket Trust and ETFS Precious Metals Basket Trust With Respect to Calculation of the Net Asset Value of Shares of Each Trust; and (2) to Reflect a Change to the Underlying Benchmark for ProShares Ultra Silver and ProShares UltraShort Silver2014-08-20T00:00:00-07:002014-08-20T00:00:00-07:002014-19703Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19703.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19702.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2014-08-20T00:00:00-07:002014-08-20T00:00:00-07:002014-19702Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19702.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/19/C1-2014-15337.htmlRule - Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities; Republication2014-08-19T00:00:00-07:002014-08-19T00:00:00-07:00C1-2014-15337Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/C1-2014-15337.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19707.htmlNotice - Sunshine Act Meeting2014-08-19T00:00:00-07:002014-08-19T00:00:00-07:002014-19707Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19707.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19583.htmlNotice - Innovator Management LLC and Academy Funds Trust; Notice of Application2014-08-19T00:00:00-07:002014-08-19T00:00:00-07:002014-19583Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19583.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19582.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Orders That Are Tied to Stock2014-08-19T00:00:00-07:002014-08-19T00:00:00-07:002014-19582Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19582.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19581.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Related to 2014 ISDA Definitions2014-08-19T00:00:00-07:002014-08-19T00:00:00-07:002014-19581Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19581.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19580.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Options on Shares of the iShare ETFs2014-08-19T00:00:00-07:002014-08-19T00:00:00-07:002014-19580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19580.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19579.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny and Non-Penny Pilot Options2014-08-19T00:00:00-07:002014-08-19T00:00:00-07:002014-19579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19579.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19578.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2014-08-19T00:00:00-07:002014-08-19T00:00:00-07:002014-19578Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19578.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19617.htmlNotice - In the Matter of Black Hawk Exploration, Composite Technology Corporation, Forza Environmental Building Products, Inc., Hotcloud Mobile, Inc., ImmunoBiotics, Inc., and SpatiaLight, Inc; Order of Suspension of Trading2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19617Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19617.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19527.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Related to Enhancements to Its Risk Model for Credit Default Swaps2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19527Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19527.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19526.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Related to Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19526Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19526.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19482.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Fee Schedule2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19482Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19482.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19481.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Fee Schedule To Establish Fees for After-Hours Operations2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19481Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19481.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19480.htmlNotice - Options Price Reporting Authority; Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Definition of the Term “Nonprofessional”2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19480Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19480.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19479.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19479Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19479.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19478.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19478Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19478.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19477.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the iShares Short Maturity Bond Fund2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19477Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19477.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19476.htmlNotice - Options Price Reporting Authority; Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Sections 5.4 and 7.1 of the OPRA Plan2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19476Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19476.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19475.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19475Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19475.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19474.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change on Non-Customer Linkage and Sweep Orders2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19474.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19473.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 935NY and Rule 964NY To Delete Obsolete References to Tracking Orders and Make Other Non-Substantive, Technical Changes to the Exchange Rules2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19473Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19473.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19472.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19472Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19472.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19471.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iShares Commodities Strategy ETF of iShares U.S. ETF Trust2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19471Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19471.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19421.htmlProposed Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19421Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19421.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19415.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating To Include Additional Specificity Within Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions2014-08-18T00:00:00-07:002014-08-18T00:00:00-07:002014-19415Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19415.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19338.htmlNotice - Principal Funds, Inc., et al.; Notice of Application2014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19338Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19338.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19337.htmlNotice - 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 Connections2014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19337Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19337.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19336.htmlNotice - 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 70182014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19336Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19336.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19335.htmlNotice - 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 Trust2014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19335Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19335.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19334.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program2014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19334Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19334.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19333.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options2014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19333Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19333.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19332.htmlNotice - 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 Credit2014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19332.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19331.htmlNotice - 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-Month2014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19331Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19331.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19330.htmlNotice - 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 Purposes2014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19330Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19330.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19329.htmlNotice - 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 Names2014-08-15T00:00:00-07:002014-08-15T00:00:00-07:002014-19329Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19329.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/14/2014-19225.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-08-14T00:00:00-07:002014-08-14T00:00:00-07:002014-19225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-19225.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/14/2014-19224.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-08-14T00:00:00-07:002014-08-14T00:00:00-07:002014-19224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-19224.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/14/2014-19223.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Simple Order Fees for Removing Liquidity in SPY Options2014-08-14T00:00:00-07:002014-08-14T00:00:00-07:002014-19223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-19223.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/14/2014-17747.htmlRule - Money Market Fund Reform; Amendments to Form PF2014-08-14T00:00:00-07:002014-08-14T00:00:00-07:002014-17747Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-17747.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/14/2014-17746.htmlProposed Rule - Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule2014-08-14T00:00:00-07:002014-08-14T00:00:00-07:002014-17746Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-17746.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19099.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Lead Market Maker Rights Fees2014-08-13T00:00:00-07:002014-08-13T00:00:00-07:002014-19099Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19099.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19098.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule in a Number of Different Ways2014-08-13T00:00:00-07:002014-08-13T00:00:00-07:002014-19098Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19098.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19097.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Lead Market Maker Rights Fees2014-08-13T00:00:00-07:002014-08-13T00:00:00-07:002014-19097Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19097.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19096.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rule 14.11(k) To Permit BATS Exchange, Inc. To List Managed Portfolio Shares and To List and Trade Shares of Certain Funds of the Spruce ETF Trust2014-08-13T00:00:00-07:002014-08-13T00:00:00-07:002014-19096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19096.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19095.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program2014-08-13T00:00:00-07:002014-08-13T00:00:00-07:002014-19095Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19095.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19094.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2014-08-13T00:00:00-07:002014-08-13T00:00:00-07:002014-19094Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19094.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19093.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Fees2014-08-13T00:00:00-07:002014-08-13T00:00:00-07:002014-19093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19093.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/12/R1-2014-15337.htmlRule - Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities; Republication2014-08-12T00:00:00-07:002014-08-12T00:00:00-07:00R1-2014-15337Rulehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/R1-2014-15337.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/12/2014-19100.htmlNotice - Sunshine Act Meeting2014-08-12T00:00:00-07:002014-08-12T00:00:00-07:002014-19100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-19100.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/12/2014-18983.htmlNotice - Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order2014-08-12T00:00:00-07:002014-08-12T00:00:00-07:002014-18983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-18983.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/12/2014-18980.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I2014-08-12T00:00:00-07:002014-08-12T00:00:00-07:002014-18980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-18980.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/12/2014-18979.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Relating to Certain Transactions Involving Floor Brokers2014-08-12T00:00:00-07:002014-08-12T00:00:00-07:002014-18979Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-18979.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/12/2014-18978.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To List and Trade Options on Shares of the Market Vectors ETFs2014-08-12T00:00:00-07:002014-08-12T00:00:00-07:002014-18978Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-18978.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/11/2014-19047.htmlNotice - Sunshine Act Meetings2014-08-11T00:00:00-07:002014-08-11T00:00:00-07:002014-19047Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-19047.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18882.htmlNotice - H&Q Healthcare Investors, et al.; Notice of Application2014-08-11T00:00:00-07:002014-08-11T00:00:00-07:002014-18882Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18882.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18881.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 24 Examination Program2014-08-11T00:00:00-07:002014-08-11T00:00:00-07:002014-18881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18881.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18880.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 23 Examination Program2014-08-11T00:00:00-07:002014-08-11T00:00:00-07:002014-18880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18880.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18879.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Transfer NIIDS to a Non-Clearing Agency Affiliate2014-08-11T00:00:00-07:002014-08-11T00:00:00-07:002014-18879Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18879.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18878.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise the ICC Treasury Policies and Procedures2014-08-11T00:00:00-07:002014-08-11T00:00:00-07:002014-18878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18878.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18877.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change to Liquidity Policies Relating to EMIR2014-08-11T00:00:00-07:002014-08-11T00:00:00-07:002014-18877Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18877.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18876.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Utilize a Trade Condition Modifier2014-08-11T00:00:00-07:002014-08-11T00:00:00-07:002014-18876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18876.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18875.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section P of the Fee Schedule Concerning the Market Data Revenue Rebates Program2014-08-11T00:00:00-07:002014-08-11T00:00:00-07:002014-18875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18875.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18916.htmlNotice - In the Matter of Datascension, Inc., Here Enterprises, Inc., Metaswarm, Inc., and Statmon Technologies Corp.; Order of Suspension of Trading2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18916.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18915.htmlNotice - In the Matter of Conquest Petroleum Inc. and Nexaira Wireless Inc.; Order of Suspension of Trading2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18915.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18914.htmlNotice - In the Matter of Amico Games Corp., Andina Group Inc., Cougar Oil & Gas Canada Inc., Encorium Group, Inc., and Waccamaw Bankshares, Inc., Order of Suspension of Trading2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18914.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18752.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Accelerated Approval of Proposed Rule Change to CDS Policies Relating to EMIR2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18752.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18751.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Accelerated Approval of Proposed Rule Change Relating to EMIR Requirements2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18751Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18751.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18750.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Accelerated Approval of Proposed Rule Change Relating to EMIR Requirements2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18750Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18750.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18749.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Permit OCC To Adjust the Size of Its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18749.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18748.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18748.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18747.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18747.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18746.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF Under NYSE Arca Equities Rule 8.6002014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18746.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18745.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving Proposed Rule Change To Amend Rule 515 To Terminate the Liquidity Refresh Pause Early in Certain Situations2014-08-08T00:00:00-07:002014-08-08T00:00:00-07:002014-18745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18745.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18772.htmlNotice - Green and Hill Industries, Inc.; Order of Suspension of Trading2014-08-07T00:00:00-07:002014-08-07T00:00:00-07:002014-18772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18772.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18651.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Classification of Principals and Representatives, Numerical Requirements, Testing, Continuing Education Requirements; Rule G-7, on Information Concerning Associated Persons; and Rule G-27, on Supervision2014-08-07T00:00:00-07:002014-08-07T00:00:00-07:002014-18651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18651.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18650.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Market-Maker Quoting Obligations2014-08-07T00:00:00-07:002014-08-07T00:00:00-07:002014-18650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18650.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18649.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Market-Maker Quoting Obligations2014-08-07T00:00:00-07:002014-08-07T00:00:00-07:002014-18649Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18649.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18635.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change on Bid/Offer Differentials for In-The-Money Option Series2014-08-07T00:00:00-07:002014-08-07T00:00:00-07:002014-18635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18635.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18634.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change on Bid/Offer Differentials for In-The-Money Option Series2014-08-07T00:00:00-07:002014-08-07T00:00:00-07:002014-18634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18634.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18582.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness To Correct Language in the Text of Rule 47532014-08-06T00:00:00-07:002014-08-06T00:00:00-07:002014-18582Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18582.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18536.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402014-08-06T00:00:00-07:002014-08-06T00:00:00-07:002014-18536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18536.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18535.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until March 31, 20152014-08-06T00:00:00-07:002014-08-06T00:00:00-07:002014-18535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18535.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18534.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.24(a)(2) to Include Riskless Principal Orders To the Types of Orders that May Qualify as Retail Orders under the Retail Price Improvement Program2014-08-06T00:00:00-07:002014-08-06T00:00:00-07:002014-18534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18534.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18533.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Global X Commodities ETF of Global X Funds2014-08-06T00:00:00-07:002014-08-06T00:00:00-07:002014-18533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18533.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18537.htmlNotice - Sunshine Act Meeting2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18537.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18438.htmlNotice - Proposed Collection; Comment Request2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18438Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18438.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18437.htmlNotice - Proposed Collection; Comment Request2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18437Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18437.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18435.htmlNotice - 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 Services2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18435Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18435.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18434.htmlNotice - 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 Services2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18434Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18434.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18433.htmlNotice - 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 Services2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18433.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18432.htmlNotice - 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 Voided2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18432Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18432.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18431.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18431.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18430.htmlNotice - 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 Purposes2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18430.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18389.htmlNotice - 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 57052014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18389.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18388.htmlNotice - 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)2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18388.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18387.htmlNotice - 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 Functions2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18387.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18386.htmlNotice - 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 Functions2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18386.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18385.htmlNotice - 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 Exchange2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18385.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18384.htmlNotice - 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 Compliance2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18384.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18383.htmlNotice - 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 Compliance2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18383Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18383.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18382.htmlNotice - 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 Compliance2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18382Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18382.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18381.htmlNotice - 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 Records2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18381.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18380.htmlNotice - 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 Requirements2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18380.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18379.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rule 24.192014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18379Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18379.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18378.htmlNotice - 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 Outcry2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18378Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18378.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18377.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise Rules To Provide for the 2014 ISDA Definitions2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18377.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18376.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18376.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/05/2014-18375.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series2014-08-05T00:00:00-07:002014-08-05T00:00:00-07:002014-18375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-05/pdf/2014-18375.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/04/2014-18462.htmlNotice - In the Matter of Accredited Business Consolidators Corp., AsherXino Corp., Bakers Footwear Group, Inc., Card Activation Technologies, Inc., High Plains Gas, Inc., and Pacific Copper Corp.; Order of Suspension of Trading2014-08-04T00:00:00-07:002014-08-04T00:00:00-07:002014-18462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-04/pdf/2014-18462.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18129.htmlNotice - Altegris Advisors L.L.C. and Northern Lights Fund Trust; Notice of Application2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18129.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18128.htmlNotice - Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the BATS Exchange, Inc.'s Pilot Supplemental Competitive Liquidity Provider Program2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18128.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18127.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend the Competitive Liquidity Provider Program2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18127.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18126.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18126.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18125.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18125.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18124.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18124Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18124.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18123.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18123Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18123.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18122.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Y-Exchange, Inc.2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18122Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18122.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18121.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendments No. 2 and No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, No. 2, and No. 3, To List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.6002014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18121.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18120.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Exchange, Inc.2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18120.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18119.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Disclose Publicly the Sources of Data Used for Exchange Functions2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18119.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18118.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of EDGX Exchange, Inc.2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18118Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18118.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18117.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of EDGA Exchange, Inc.2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18117.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18116.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented From the Exchange2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18116Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18116.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18115.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented From the Exchange2014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18115Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18115.pdfhttps://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18114.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of Treesdale Rising Rates ETF Under NYSE Arca Equities Rule 8.6002014-08-01T00:00:00-07:002014-08-01T00:00:00-07:002014-18114Noticehttp://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18114.pdf