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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2021-07-30T10:38:47-07:00 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/2014/08/29/2014-20768.html Notice - In the Matter of Xinde Technology Company; Order of Suspension of Trading 2014-08-29T00:00:00-07:00 2014-08-29T00:00:00-07:00 2014-20768 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20768.pdf https://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20753.html Notice - In the Matter of China Wood, Inc., Order of Suspension of Trading 2014-08-29T00:00:00-07:00 2014-08-29T00:00:00-07:00 2014-20753 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20753.pdf https://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20737.html Notice - In the Matter of Clavis Technologies International Co., Ltd.; Order of Suspension of Trading 2014-08-29T00:00:00-07:00 2014-08-29T00:00:00-07:00 2014-20737 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20737.pdf https://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20736.html Notice - In the Matter of Gold Horse International, Inc.; Order of Suspension of Trading 2014-08-29T00:00:00-07:00 2014-08-29T00:00:00-07:00 2014-20736 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20736.pdf https://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20559.html Notice - 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 7022 2014-08-29T00:00:00-07:00 2014-08-29T00:00:00-07:00 2014-20559 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20559.pdf https://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20558.html Notice - 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 Participant 2014-08-29T00:00:00-07:00 2014-08-29T00:00:00-07:00 2014-20558 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20558.pdf https://regulations.justia.com/regulations/fedreg/2014/08/29/2014-20557.html Notice - 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 Cycles 2014-08-29T00:00:00-07:00 2014-08-29T00:00:00-07:00 2014-20557 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-29/pdf/2014-20557.pdf https://regulations.justia.com/regulations/fedreg/2014/08/28/2014-20468.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2014-08-28T00:00:00-07:00 2014-08-28T00:00:00-07:00 2014-20468 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-28/pdf/2014-20468.pdf https://regulations.justia.com/regulations/fedreg/2014/08/28/2014-20467.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2014-08-28T00:00:00-07:00 2014-08-28T00:00:00-07:00 2014-20467 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-28/pdf/2014-20467.pdf https://regulations.justia.com/regulations/fedreg/2014/08/28/2014-20466.html Notice - 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 ActiveSharesSM 2014-08-28T00:00:00-07:00 2014-08-28T00:00:00-07:00 2014-20466 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-28/pdf/2014-20466.pdf https://regulations.justia.com/regulations/fedreg/2014/08/28/2014-20465.html Notice - 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 Market 2014-08-28T00:00:00-07:00 2014-08-28T00:00:00-07:00 2014-20465 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-28/pdf/2014-20465.pdf https://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20469.html Notice - Sunshine Act Meeting 2014-08-27T00:00:00-07:00 2014-08-27T00:00:00-07:00 2014-20469 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20469.pdf https://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20343.html Notice - 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 8.600 2014-08-27T00:00:00-07:00 2014-08-27T00:00:00-07:00 2014-20343 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20343.pdf https://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20342.html Notice - 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 Orders 2014-08-27T00:00:00-07:00 2014-08-27T00:00:00-07:00 2014-20342 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20342.pdf https://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20341.html Notice - 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 Orders 2014-08-27T00:00:00-07:00 2014-08-27T00:00:00-07:00 2014-20341 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20341.pdf https://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20340.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 24.19 2014-08-27T00:00:00-07:00 2014-08-27T00:00:00-07:00 2014-20340 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20340.pdf https://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20339.html Notice - 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 Options 2014-08-27T00:00:00-07:00 2014-08-27T00:00:00-07:00 2014-20339 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20339.pdf https://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20338.html Notice - 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 Bonds 2014-08-27T00:00:00-07:00 2014-08-27T00:00:00-07:00 2014-20338 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20338.pdf https://regulations.justia.com/regulations/fedreg/2014/08/27/2014-20337.html Notice - 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 Options 2014-08-27T00:00:00-07:00 2014-08-27T00:00:00-07:00 2014-20337 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-27/pdf/2014-20337.pdf https://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20211.html Notice - 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 Program 2014-08-26T00:00:00-07:00 2014-08-26T00:00:00-07:00 2014-20211 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20211.pdf https://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20210.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 802.H 2014-08-26T00:00:00-07:00 2014-08-26T00:00:00-07:00 2014-20210 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20210.pdf https://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20209.html Notice - 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 Maker 2014-08-26T00:00:00-07:00 2014-08-26T00:00:00-07:00 2014-20209 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20209.pdf https://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20208.html 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 Shares of PIMCO Short-Term Exchange-Traded Fund and PIMCO Municipal Bond Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 2014-08-26T00:00:00-07:00 2014-08-26T00:00:00-07:00 2014-20208 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20208.pdf https://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20207.html Notice - 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. 2014-08-26T00:00:00-07:00 2014-08-26T00:00:00-07:00 2014-20207 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20207.pdf https://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20206.html Notice - 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. 2014-08-26T00:00:00-07:00 2014-08-26T00:00:00-07:00 2014-20206 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20206.pdf https://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20205.html Notice - 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. 2014-08-26T00:00:00-07:00 2014-08-26T00:00:00-07:00 2014-20205 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20205.pdf https://regulations.justia.com/regulations/fedreg/2014/08/26/2014-20203.html Notice - 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. 2014-08-26T00:00:00-07:00 2014-08-26T00:00:00-07:00 2014-20203 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-26/pdf/2014-20203.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20091.html Notice - Persimmon Capital Management LP and Northern Lights Fund Trust III; Notice of Application 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20091 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20091.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20090.html Notice - American Fidelity Assurance Company, et al.; Notice of Application 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20090 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20090.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20089.html Notice - Submission for OMB Review; Comment Request 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20089 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20089.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20088.html Notice - Submission for OMB Review; Comment Request 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20088 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20088.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20087.html Notice - Submission for OMB Review; Comment Request 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20087 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20087.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20086.html Notice - Submission for OMB Review; Comment Request 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20086 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20086.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20085.html Notice - Submission for OMB Review; Comment Request 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20085 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20085.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20084.html Notice - Submission for OMB Review; Comment Request 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20084 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20084.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20083.html Notice - 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 8.600 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20083 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20083.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20082.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change Relating to Trade Nullification and Price Adjustment 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20082 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20082.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20081.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20081 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20081.pdf https://regulations.justia.com/regulations/fedreg/2014/08/25/2014-20080.html Notice - 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 Exchange 2014-08-25T00:00:00-07:00 2014-08-25T00:00:00-07:00 2014-20080 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-20080.pdf https://regulations.justia.com/regulations/fedreg/2014/08/22/C1-2014-19482.html Notice - 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 2014-08-22T00:00:00-07:00 2014-08-22T00:00:00-07:00 C1-2014-19482 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/C1-2014-19482.pdf https://regulations.justia.com/regulations/fedreg/2014/08/22/2014-20112.html Notice - In the Matter of ATP Oil & Gas Corp., Cambridge Holdings, Ltd., FTE Networks, Inc., Raystream, Inc., and Shelron Group, Inc.; Order of Suspension of Trading 2014-08-22T00:00:00-07:00 2014-08-22T00:00:00-07:00 2014-20112 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/2014-20112.pdf https://regulations.justia.com/regulations/fedreg/2014/08/22/2014-20110.html Notice - International Building Technologies Group, Inc., Regeneca, Inc., Retail Pro, Inc., and Tri-Valley Corporation, Order of Suspension of Trading 2014-08-22T00:00:00-07:00 2014-08-22T00:00:00-07:00 2014-20110 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/2014-20110.pdf https://regulations.justia.com/regulations/fedreg/2014/08/22/2014-19914.html Notice - 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 Securities 2014-08-22T00:00:00-07:00 2014-08-22T00:00:00-07:00 2014-19914 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/2014-19914.pdf https://regulations.justia.com/regulations/fedreg/2014/08/22/2014-19913.html Notice - 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 Invoice 2014-08-22T00:00:00-07:00 2014-08-22T00:00:00-07:00 2014-19913 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-22/pdf/2014-19913.pdf https://regulations.justia.com/regulations/fedreg/2014/08/21/2014-19965.html Notice - In the Matter of Balaton Power, Inc. and Flying Eagle PU Technical Corp. (f/k/a Sooner Holdings, Inc.); Order of Suspension of Trading 2014-08-21T00:00:00-07:00 2014-08-21T00:00:00-07:00 2014-19965 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-21/pdf/2014-19965.pdf https://regulations.justia.com/regulations/fedreg/2014/08/21/2014-19808.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2014-08-21T00:00:00-07:00 2014-08-21T00:00:00-07:00 2014-19808 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-21/pdf/2014-19808.pdf https://regulations.justia.com/regulations/fedreg/2014/08/21/2014-19807.html Notice - 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 Proceedings 2014-08-21T00:00:00-07:00 2014-08-21T00:00:00-07:00 2014-19807 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-21/pdf/2014-19807.pdf https://regulations.justia.com/regulations/fedreg/2014/08/21/2014-19806.html Notice - 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 Fund 2014-08-21T00:00:00-07:00 2014-08-21T00:00:00-07:00 2014-19806 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-21/pdf/2014-19806.pdf https://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19706.html Notice - Fifth Street Finance Corp. et al.; Notice of Application 2014-08-20T00:00:00-07:00 2014-08-20T00:00:00-07:00 2014-19706 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19706.pdf https://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19705.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the 2014 ISDA Credit Derivatives Definitions 2014-08-20T00:00:00-07:00 2014-08-20T00:00:00-07:00 2014-19705 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19705.pdf https://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19704.html Notice - 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 COPIP 2014-08-20T00:00:00-07:00 2014-08-20T00:00:00-07:00 2014-19704 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19704.pdf https://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19703.html Notice - 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 Silver 2014-08-20T00:00:00-07:00 2014-08-20T00:00:00-07:00 2014-19703 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19703.pdf https://regulations.justia.com/regulations/fedreg/2014/08/20/2014-19702.html 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 2014-08-20T00:00:00-07:00 2014-08-20T00:00:00-07:00 2014-19702 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-20/pdf/2014-19702.pdf https://regulations.justia.com/regulations/fedreg/2014/08/19/C1-2014-15337.html Rule - Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities; Republication 2014-08-19T00:00:00-07:00 2014-08-19T00:00:00-07:00 C1-2014-15337 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/C1-2014-15337.pdf https://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19707.html Notice - Sunshine Act Meeting 2014-08-19T00:00:00-07:00 2014-08-19T00:00:00-07:00 2014-19707 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19707.pdf https://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19583.html Notice - Innovator Management LLC and Academy Funds Trust; Notice of Application 2014-08-19T00:00:00-07:00 2014-08-19T00:00:00-07:00 2014-19583 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19583.pdf https://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19582.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Orders That Are Tied to Stock 2014-08-19T00:00:00-07:00 2014-08-19T00:00:00-07:00 2014-19582 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19582.pdf https://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19581.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Related to 2014 ISDA Definitions 2014-08-19T00:00:00-07:00 2014-08-19T00:00:00-07:00 2014-19581 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19581.pdf https://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19580.html Notice - 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 ETFs 2014-08-19T00:00:00-07:00 2014-08-19T00:00:00-07:00 2014-19580 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19580.pdf https://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19579.html Notice - 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 Options 2014-08-19T00:00:00-07:00 2014-08-19T00:00:00-07:00 2014-19579 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19579.pdf https://regulations.justia.com/regulations/fedreg/2014/08/19/2014-19578.html 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. 2014-08-19T00:00:00-07:00 2014-08-19T00:00:00-07:00 2014-19578 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-19/pdf/2014-19578.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19617.html Notice - 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 Trading 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19617 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19617.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19527.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Related to Enhancements to Its Risk Model for Credit Default Swaps 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19527 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19527.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19526.html Notice - 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 Markit 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19526 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19526.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19482.html Notice - 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 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19482 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19482.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19481.html Notice - 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 Operations 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19481 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19481.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19480.html Notice - 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” 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19480 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19480.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19479.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19479 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19479.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19478.html 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 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19478 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19478.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19477.html Notice - 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 Fund 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19477 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19477.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19476.html Notice - 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 Plan 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19476 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19476.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19475.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19475 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19475.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19474.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change on Non-Customer Linkage and Sweep Orders 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19474 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19474.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19473.html Notice - 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 Rules 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19473 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19473.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19472.html 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 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19472 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19472.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19471.html Notice - 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 Trust 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19471 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19471.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19421.html Proposed Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19421 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19421.pdf https://regulations.justia.com/regulations/fedreg/2014/08/18/2014-19415.html Notice - 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 Instructions 2014-08-18T00:00:00-07:00 2014-08-18T00:00:00-07:00 2014-19415 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-18/pdf/2014-19415.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19338.html Notice - Principal Funds, Inc., et al.; Notice of Application 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19338 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19338.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19337.html Notice - 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 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19337 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19337.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19336.html Notice - 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 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19336 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19336.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19335.html Notice - 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 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19335 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19335.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19334.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19334 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19334.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19333.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19333 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19333.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19332.html Notice - 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 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19332 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19332.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19331.html Notice - 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 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19331 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19331.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19330.html Notice - 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 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19330 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19330.pdf https://regulations.justia.com/regulations/fedreg/2014/08/15/2014-19329.html Notice - 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 2014-08-15T00:00:00-07:00 2014-08-15T00:00:00-07:00 2014-19329 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-15/pdf/2014-19329.pdf https://regulations.justia.com/regulations/fedreg/2014/08/14/2014-19225.html 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 2014-08-14T00:00:00-07:00 2014-08-14T00:00:00-07:00 2014-19225 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-19225.pdf https://regulations.justia.com/regulations/fedreg/2014/08/14/2014-19224.html 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 2014-08-14T00:00:00-07:00 2014-08-14T00:00:00-07:00 2014-19224 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-19224.pdf https://regulations.justia.com/regulations/fedreg/2014/08/14/2014-19223.html Notice - 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 Options 2014-08-14T00:00:00-07:00 2014-08-14T00:00:00-07:00 2014-19223 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-19223.pdf https://regulations.justia.com/regulations/fedreg/2014/08/14/2014-17747.html Rule - Money Market Fund Reform; Amendments to Form PF 2014-08-14T00:00:00-07:00 2014-08-14T00:00:00-07:00 2014-17747 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-17747.pdf https://regulations.justia.com/regulations/fedreg/2014/08/14/2014-17746.html Proposed Rule - Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule 2014-08-14T00:00:00-07:00 2014-08-14T00:00:00-07:00 2014-17746 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-08-14/pdf/2014-17746.pdf https://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19099.html Notice - 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 Fees 2014-08-13T00:00:00-07:00 2014-08-13T00:00:00-07:00 2014-19099 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19099.pdf https://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19098.html Notice - 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 Ways 2014-08-13T00:00:00-07:00 2014-08-13T00:00:00-07:00 2014-19098 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19098.pdf https://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19097.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 Relating to Lead Market Maker Rights Fees 2014-08-13T00:00:00-07:00 2014-08-13T00:00:00-07:00 2014-19097 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19097.pdf https://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19096.html Notice - 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 Trust 2014-08-13T00:00:00-07:00 2014-08-13T00:00:00-07:00 2014-19096 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19096.pdf https://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19095.html 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 2014-08-13T00:00:00-07:00 2014-08-13T00:00:00-07:00 2014-19095 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19095.pdf https://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19094.html 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 2014-08-13T00:00:00-07:00 2014-08-13T00:00:00-07:00 2014-19094 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19094.pdf https://regulations.justia.com/regulations/fedreg/2014/08/13/2014-19093.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Fees 2014-08-13T00:00:00-07:00 2014-08-13T00:00:00-07:00 2014-19093 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-13/pdf/2014-19093.pdf https://regulations.justia.com/regulations/fedreg/2014/08/12/R1-2014-15337.html Rule - Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities; Republication 2014-08-12T00:00:00-07:00 2014-08-12T00:00:00-07:00 R1-2014-15337 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/R1-2014-15337.pdf https://regulations.justia.com/regulations/fedreg/2014/08/12/2014-19100.html Notice - Sunshine Act Meeting 2014-08-12T00:00:00-07:00 2014-08-12T00:00:00-07:00 2014-19100 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-19100.pdf https://regulations.justia.com/regulations/fedreg/2014/08/12/2014-18983.html Notice - Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order 2014-08-12T00:00:00-07:00 2014-08-12T00:00:00-07:00 2014-18983 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-18983.pdf https://regulations.justia.com/regulations/fedreg/2014/08/12/2014-18980.html Notice - 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 I 2014-08-12T00:00:00-07:00 2014-08-12T00:00:00-07:00 2014-18980 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-18980.pdf https://regulations.justia.com/regulations/fedreg/2014/08/12/2014-18979.html Notice - 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 Brokers 2014-08-12T00:00:00-07:00 2014-08-12T00:00:00-07:00 2014-18979 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-18979.pdf https://regulations.justia.com/regulations/fedreg/2014/08/12/2014-18978.html Notice - 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 ETFs 2014-08-12T00:00:00-07:00 2014-08-12T00:00:00-07:00 2014-18978 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-12/pdf/2014-18978.pdf https://regulations.justia.com/regulations/fedreg/2014/08/11/2014-19047.html Notice - Sunshine Act Meetings 2014-08-11T00:00:00-07:00 2014-08-11T00:00:00-07:00 2014-19047 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-19047.pdf https://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18882.html Notice - H&Q Healthcare Investors, et al.; Notice of Application 2014-08-11T00:00:00-07:00 2014-08-11T00:00:00-07:00 2014-18882 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18882.pdf https://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18881.html Notice - 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 Program 2014-08-11T00:00:00-07:00 2014-08-11T00:00:00-07:00 2014-18881 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18881.pdf https://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18880.html Notice - 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 Program 2014-08-11T00:00:00-07:00 2014-08-11T00:00:00-07:00 2014-18880 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18880.pdf https://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18879.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Transfer NIIDS to a Non-Clearing Agency Affiliate 2014-08-11T00:00:00-07:00 2014-08-11T00:00:00-07:00 2014-18879 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18879.pdf https://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18878.html Notice - 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 Procedures 2014-08-11T00:00:00-07:00 2014-08-11T00:00:00-07:00 2014-18878 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18878.pdf https://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18877.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change to Liquidity Policies Relating to EMIR 2014-08-11T00:00:00-07:00 2014-08-11T00:00:00-07:00 2014-18877 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18877.pdf https://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18876.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Utilize a Trade Condition Modifier 2014-08-11T00:00:00-07:00 2014-08-11T00:00:00-07:00 2014-18876 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18876.pdf https://regulations.justia.com/regulations/fedreg/2014/08/11/2014-18875.html Notice - 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 Program 2014-08-11T00:00:00-07:00 2014-08-11T00:00:00-07:00 2014-18875 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-11/pdf/2014-18875.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18916.html Notice - In the Matter of Datascension, Inc., Here Enterprises, Inc., Metaswarm, Inc., and Statmon Technologies Corp.; Order of Suspension of Trading 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18916 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18916.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18915.html Notice - In the Matter of Conquest Petroleum Inc. and Nexaira Wireless Inc.; Order of Suspension of Trading 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18915 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18915.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18914.html Notice - 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 Trading 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18914 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18914.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18752.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Accelerated Approval of Proposed Rule Change to CDS Policies Relating to EMIR 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18752 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18752.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18751.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Accelerated Approval of Proposed Rule Change Relating to EMIR Requirements 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18751 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18751.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18750.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Accelerated Approval of Proposed Rule Change Relating to EMIR Requirements 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18750 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18750.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18749.html Notice - 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-Month 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18749 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18749.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18748.html Notice - 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 Trading 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18748 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18748.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18747.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18747 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18747.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18746.html Notice - 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 8.600 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18746 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18746.pdf https://regulations.justia.com/regulations/fedreg/2014/08/08/2014-18745.html Notice - 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 Situations 2014-08-08T00:00:00-07:00 2014-08-08T00:00:00-07:00 2014-18745 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-08/pdf/2014-18745.pdf https://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18772.html Notice - Green and Hill Industries, Inc.; Order of Suspension of Trading 2014-08-07T00:00:00-07:00 2014-08-07T00:00:00-07:00 2014-18772 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18772.pdf https://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18651.html Notice - 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 Supervision 2014-08-07T00:00:00-07:00 2014-08-07T00:00:00-07:00 2014-18651 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18651.pdf https://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18650.html Notice - 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 Obligations 2014-08-07T00:00:00-07:00 2014-08-07T00:00:00-07:00 2014-18650 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18650.pdf https://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18649.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Market-Maker Quoting Obligations 2014-08-07T00:00:00-07:00 2014-08-07T00:00:00-07:00 2014-18649 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18649.pdf https://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18635.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change on Bid/Offer Differentials for In-The-Money Option Series 2014-08-07T00:00:00-07:00 2014-08-07T00:00:00-07:00 2014-18635 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18635.pdf https://regulations.justia.com/regulations/fedreg/2014/08/07/2014-18634.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change on Bid/Offer Differentials for In-The-Money Option Series 2014-08-07T00:00:00-07:00 2014-08-07T00:00:00-07:00 2014-18634 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-07/pdf/2014-18634.pdf https://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18582.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness To Correct Language in the Text of Rule 4753 2014-08-06T00:00:00-07:00 2014-08-06T00:00:00-07:00 2014-18582 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18582.pdf https://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18536.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2014-08-06T00:00:00-07:00 2014-08-06T00:00:00-07:00 2014-18536 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18536.pdf https://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18535.html Notice - 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, 2015 2014-08-06T00:00:00-07:00 2014-08-06T00:00:00-07:00 2014-18535 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18535.pdf https://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18534.html Notice - 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 Program 2014-08-06T00:00:00-07:00 2014-08-06T00:00:00-07:00 2014-18534 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18534.pdf https://regulations.justia.com/regulations/fedreg/2014/08/06/2014-18533.html Notice - 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 Funds 2014-08-06T00:00:00-07:00 2014-08-06T00:00:00-07:00 2014-18533 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18533.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/08/04/2014-18462.html Notice - 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 Trading 2014-08-04T00:00:00-07:00 2014-08-04T00:00:00-07:00 2014-18462 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-04/pdf/2014-18462.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18129.html Notice - Altegris Advisors L.L.C. and Northern Lights Fund Trust; Notice of Application 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18129 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18129.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18128.html Notice - Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the BATS Exchange, Inc.'s Pilot Supplemental Competitive Liquidity Provider Program 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18128 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18128.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18127.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend the Competitive Liquidity Provider Program 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18127 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18127.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18126.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18126 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18126.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18125.html Notice - 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 Feed 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18125 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18125.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18124.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18124 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18124.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18123.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18123 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18123.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18122.html Notice - 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. 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18122 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18122.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18121.html Notice - 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 8.600 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18121 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18121.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18120.html Notice - 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. 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18120 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18120.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18119.html Notice - 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 Functions 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18119 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18119.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18118.html Notice - 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. 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18118 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18118.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18117.html Notice - 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. 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18117 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18117.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18116.html Notice - 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 Exchange 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18116 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18116.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18115.html Notice - 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 Exchange 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18115 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18115.pdf https://regulations.justia.com/regulations/fedreg/2014/08/01/2014-18114.html Notice - 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 8.600 2014-08-01T00:00:00-07:00 2014-08-01T00:00:00-07:00 2014-18114 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-08-01/pdf/2014-18114.pdf