Securities and Exchange Commission September 3, 2014 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting

Document Number: 2014-21005

Type: Notice

Date: 2014-09-03

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-21005.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of Eight PIMCO Exchange-Traded Funds Under NYSE Arca Equities Rule 8.600

Document Number: 2014-20874

Type: Notice

Date: 2014-09-03

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20874.html

Advisors Series Trust and Vivaldi Asset Management, LLC; Notice of Application

Document Number: 2014-20869

Type: Notice

Date: 2014-09-03

Agency: Securities and Exchange Commission, Agencies and Commissions

Applicants request an order that would permit them to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements.

https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20869.html

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.

Document Number: 2014-20868

Type: Notice

Date: 2014-09-03

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20868.html

Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.

Document Number: 2014-20867

Type: Notice

Date: 2014-09-03

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20867.html