<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/09?registers=between&min-day=1&max-day=30 Tue, 30 Apr 2024 21:53:24 -0700 Tue, 30 Apr 2024 21:53:24 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/09?registers=between&min-day=1&max-day=30 Rule - Asset-Backed Securities Disclosure and Registration https://regulations.justia.com/regulations/fedreg/2014/09/30/C1-2014-21375.html https://regulations.justia.com/regulations/fedreg/2014/09/30/C1-2014-21375.html Tue, 30 Sep 2014 00:00:00 -0700 C1-2014-21375 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/C1-2014-21375.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23254.html https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23254.html Tue, 30 Sep 2014 00:00:00 -0700 2014-23254 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23254.pdf Notice - Great-West Funds, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23227.html https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23227.html Tue, 30 Sep 2014 00:00:00 -0700 2014-23227 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23227.pdf Notice - JNL Series Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23226.html https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23226.html Tue, 30 Sep 2014 00:00:00 -0700 2014-23226 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23226.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Amend the Functionality Relating To Post No Preference Blind Orders To Display Such Orders One Minimum Price Variation Below the Best Protected Offer for Bids and Above the Best Protected Bid for Offers https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23225.html https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23225.html Tue, 30 Sep 2014 00:00:00 -0700 2014-23225 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23225.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rule 21.7 of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23224.html https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23224.html Tue, 30 Sep 2014 00:00:00 -0700 2014-23224 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23224.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23223.html https://regulations.justia.com/regulations/fedreg/2014/09/30/2014-23223.html Tue, 30 Sep 2014 00:00:00 -0700 2014-23223 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-30/pdf/2014-23223.pdf Notice - In the Matter of All Grade Mining, Inc., Bluforest, Inc., DHS Holding Co., Essential Innovations, Technology Corp., Global Green Inc., Inova Technology, Inc., mLight Tech, Inc., Solar Thin Films, Inc., Xumanii International, Holdings Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23247.html https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23247.html Mon, 29 Sep 2014 00:00:00 -0700 2014-23247 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23247.pdf Notice - Self-Regulatory Organizations; ISE Gemini Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of Its Limited Liability Company Agreement (“LLC Agreement”) https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23052.html https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23052.html Mon, 29 Sep 2014 00:00:00 -0700 2014-23052 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23052.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23051.html https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23051.html Mon, 29 Sep 2014 00:00:00 -0700 2014-23051 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23051.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23050.html https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23050.html Mon, 29 Sep 2014 00:00:00 -0700 2014-23050 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23050.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23049.html https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23049.html Mon, 29 Sep 2014 00:00:00 -0700 2014-23049 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23049.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Supplementary Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23048.html https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23048.html Mon, 29 Sep 2014 00:00:00 -0700 2014-23048 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23048.pdf Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change to Update OCX's Rulebook To Remove References To the OCX.BETS and CBOEdirect Trading Platforms https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23047.html https://regulations.justia.com/regulations/fedreg/2014/09/29/2014-23047.html Mon, 29 Sep 2014 00:00:00 -0700 2014-23047 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-29/pdf/2014-23047.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22996.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22996.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22996 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22996.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22995.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22995.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22995 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22995.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program Until December 31, 2014 https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22994.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22994.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22994 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22994.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Increase in the Number of Securities Held by the Peritus High Yield ETF https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22993.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22993.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22993 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22993.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 31, 2014 https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22992.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22992.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22992 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22992.pdf Notice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of Filing Amendment No. 1 to Advance Notice Relating to the Government Securities Division's Inclusion of GCF Repo® Positions in GSD's Intraday Participant Clearing Fund Requirement Calculation, and GSD's Hourly Internal Surveillance Cycles https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22991.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22991.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22991 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22991.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22918.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22918.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22918 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22918.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22917.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22917.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22917 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22917.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22916.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22916.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22916 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22916.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22915.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22915.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22915 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22915.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22914.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22914.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22914 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22914.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22913.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22913.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22913 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22913.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22912.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22912.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22912 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22912.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22911.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22911.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22911 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22911.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Validea Market Legends ETF of the ETF Series Solutions ETF Trust https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22910.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22910.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22910 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22910.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22909.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22909.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22909 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22909.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22908.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22908.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22908 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22908.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .01 to Rule 341 To Specify the Registration and Examination Requirements for Certain Persons Engaged in Supervisory Activities https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22907.html https://regulations.justia.com/regulations/fedreg/2014/09/26/2014-22907.html Fri, 26 Sep 2014 00:00:00 -0700 2014-22907 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-26/pdf/2014-22907.pdf Notice - Monroe Capital Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22792.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22792.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22792 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22792.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the 2014 ISDA Credit Derivatives Definitions https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22791.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22791.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22791 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22791.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.03, 902.04, 902.05, 902.06 and 902.08 of the Listed Company Manual To Increase Certain of the Fees Set Forth Therein and To Delete Obsolete Rule Text https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22790.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22790.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22790 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22790.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Add a New Complex Order Process Called Legging Orders https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22789.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22789.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22789 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22789.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 2.100(a) To Correct Potential Ambiguities Introduced in Prior Rule Change Filings Submitted in 2013 and 2014 https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22788.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22788.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22788 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22788.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the CHX Routing Services https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22787.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22787.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22787 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22787.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Greenhaven Coal Fund Under NYSE Arca Equities Rule 8.200, Commentary .02 https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22786.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22786.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22786 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22786.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change Related to Market Maker Risk Parameters https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22785.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22785.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22785 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22785.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Related to Market Maker Risk Parameters https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22784.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22784.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22784 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22784.pdf Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22783.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22783.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22783 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22783.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22782.html https://regulations.justia.com/regulations/fedreg/2014/09/25/2014-22782.html Thu, 25 Sep 2014 00:00:00 -0700 2014-22782 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-25/pdf/2014-22782.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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 https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22673.html https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22673.html Wed, 24 Sep 2014 00:00:00 -0700 2014-22673 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22673.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22672.html https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22672.html Wed, 24 Sep 2014 00:00:00 -0700 2014-22672 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22672.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22671.html https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22671.html Wed, 24 Sep 2014 00:00:00 -0700 2014-22671 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22671.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22670.html https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22670.html Wed, 24 Sep 2014 00:00:00 -0700 2014-22670 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22670.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Establishing the NYSE Best Quote & Trades Data Feed https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22669.html https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-22669.html Wed, 24 Sep 2014 00:00:00 -0700 2014-22669 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22669.pdf Rule - Asset-Backed Securities Disclosure and Registration https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-21375.html https://regulations.justia.com/regulations/fedreg/2014/09/24/2014-21375.html Wed, 24 Sep 2014 00:00:00 -0700 2014-21375 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-21375.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22551.html https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22551.html Tue, 23 Sep 2014 00:00:00 -0700 2014-22551 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22551.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22548.html https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22548.html Tue, 23 Sep 2014 00:00:00 -0700 2014-22548 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22548.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22547.html https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22547.html Tue, 23 Sep 2014 00:00:00 -0700 2014-22547 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22547.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22546.html https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22546.html Tue, 23 Sep 2014 00:00:00 -0700 2014-22546 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22546.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22545.html https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22545.html Tue, 23 Sep 2014 00:00:00 -0700 2014-22545 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22545.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22544.html https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22544.html Tue, 23 Sep 2014 00:00:00 -0700 2014-22544 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22544.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees for Optional Wireless Connectivity for Co-located Clients https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22542.html https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22542.html Tue, 23 Sep 2014 00:00:00 -0700 2014-22542 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22542.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22541.html https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22541.html Tue, 23 Sep 2014 00:00:00 -0700 2014-22541 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22541.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII With Respect To Execution and Routing of Orders in Securities Priced at $1 or More Per Share https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22540.html https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22540.html Tue, 23 Sep 2014 00:00:00 -0700 2014-22540 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-23/pdf/2014-22540.pdf Notice - In the Matter of AGR Tools, Inc., Arcadia Resources, Inc., Citizens First Bancorp, Inc., First Capital International, Inc., GreenTek Corp., and Metabolic Research, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/09/22/2014-22573.html https://regulations.justia.com/regulations/fedreg/2014/09/22/2014-22573.html Mon, 22 Sep 2014 00:00:00 -0700 2014-22573 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-22/pdf/2014-22573.pdf Notice - In the Matter of Gepco, Ltd.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/09/22/2014-22567.html https://regulations.justia.com/regulations/fedreg/2014/09/22/2014-22567.html Mon, 22 Sep 2014 00:00:00 -0700 2014-22567 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-22/pdf/2014-22567.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2014/09/22/2014-22543.html https://regulations.justia.com/regulations/fedreg/2014/09/22/2014-22543.html Mon, 22 Sep 2014 00:00:00 -0700 2014-22543 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-22/pdf/2014-22543.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options https://regulations.justia.com/regulations/fedreg/2014/09/19/C1-2014-21527.html https://regulations.justia.com/regulations/fedreg/2014/09/19/C1-2014-21527.html Fri, 19 Sep 2014 00:00:00 -0700 C1-2014-21527 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/C1-2014-21527.pdf Notice - Evanston Alternative Opportunities Fund and Evanston Capital Management, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22339.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22339.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22339 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22339.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22338.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22338.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22338 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22338.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22337.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22337.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22337 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22337.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22336.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22336.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22336 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22336.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22335.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22335.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22335 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22335.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a New Market Data Product Called the BATS One Feed https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22334.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22334.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22334 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22334.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving 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 https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22333.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22333.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22333 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22333.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving 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 https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22332.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22332.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22332 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22332.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22327.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22327.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22327 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22327.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22326.html https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22326.html Fri, 19 Sep 2014 00:00:00 -0700 2014-22326 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-19/pdf/2014-22326.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22246.html https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22246.html Thu, 18 Sep 2014 00:00:00 -0700 2014-22246 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-18/pdf/2014-22246.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22245.html https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22245.html Thu, 18 Sep 2014 00:00:00 -0700 2014-22245 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-18/pdf/2014-22245.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22244.html https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22244.html Thu, 18 Sep 2014 00:00:00 -0700 2014-22244 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-18/pdf/2014-22244.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22243.html https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22243.html Thu, 18 Sep 2014 00:00:00 -0700 2014-22243 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-18/pdf/2014-22243.pdf Notice - Asian Dragon Group, Inc., Atlas Minerals, Inc. (n/k/a Atlas Corporation), Bluesky Systems Holdings, Inc. (f/k/a Bluesky Systems Corp.), CPC of America, Inc., Mezabay International, Inc., and Power3 Medical Products, Inc. (a/k/a Power 3 Medical Products, Inc.), Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22262.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22262.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22262 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22262.pdf Notice - Adarna Energy Corporation, Brampton Crest International, Inc., Covenant Group of China Inc., Mobile Area Networks, Inc., Netco Investments, Inc., OneTravel Holdings, Inc., and PDG Environmental, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22261.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22261.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22261 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22261.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 3 and 5, Relating to the Listing and Trading of Shares of Reality Shares DIVS ETF under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22163.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22163.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22163 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22163.pdf Notice - SSgA MasterTrust and SSgA Funds Management, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22119.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22119.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22119 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22119.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on 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 https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22118.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22118.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22118 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22118.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the Treesdale Rising Rates ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22117.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22117.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22117 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22117.pdf 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. https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22116.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22116.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22116 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22116.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22115.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22115.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22115 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22115.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22114.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22114.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22114 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22114.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Approval of Proposed Rule Change to Liquidity Policies Relating to EMIR https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22113.html https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22113.html Wed, 17 Sep 2014 00:00:00 -0700 2014-22113 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-17/pdf/2014-22113.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22121.html https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22121.html Tue, 16 Sep 2014 00:00:00 -0700 2014-22121 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-16/pdf/2014-22121.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend Section 107.03 of the Listed Company Manual To Provide That No Security Shall Be Approved for Listing on the Exchange That is Delinquent in Its Filing Obligation With the Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22004.html https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22004.html Tue, 16 Sep 2014 00:00:00 -0700 2014-22004 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-16/pdf/2014-22004.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 4753 To Expand the Information Made Available Through the Order Imbalance Indicator in Connection With the NASDAQ Halt Cross https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22003.html https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22003.html Tue, 16 Sep 2014 00:00:00 -0700 2014-22003 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-16/pdf/2014-22003.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 2.23 To Specify the Registration and Examination Requirements for Persons Engaged in Supervisory Activities https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22002.html https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22002.html Tue, 16 Sep 2014 00:00:00 -0700 2014-22002 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-16/pdf/2014-22002.pdf Notice - Validea Capital Management, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21889.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21889.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21889 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21889.pdf Notice - BNY Mellon Funds Trust, et al.; https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21888.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21888.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21888 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21888.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 49-Equities, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages Are Disseminated https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21875.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21875.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21875 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21875.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 49, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages Are Disseminated https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21874.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21874.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21874 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21874.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2.100, Which Addresses the Exchange's Emergency Powers Revising How Certain Messages Are Disseminated https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21873.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21873.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21873 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21873.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.60(b) To Enhance the Functionality of the Limit Order Filter https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21872.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21872.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21872 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21872.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21871.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21871.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21871 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21871.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967NY(b) To Enhance the Functionality of the Limit Order Filter https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21870.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21870.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21870 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21870.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Related To Limiting Certain Types of Complex Orders From Legging Into the Regular Market https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21869.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21869.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21869 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21869.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To List and Trade Shares of InfraCap MLP ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21868.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21868.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21868 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21868.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List To Provide That the Monthly DMM Credit for Certain Securities Be Prorated to the Number of Trading Days in a Month That a Security Is Assigned to a DMM https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21867.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21867.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21867 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21867.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO, and To Establish Fees for Non-Display Use of NYSE MKT Order Imbalances https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21866.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21866.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21866 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21866.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Adjust the Pricing Related to the Retail Liquidity Program Under Rule 107C-Equities https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21865.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21865.html Mon, 15 Sep 2014 00:00:00 -0700 2014-21865 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-21865.pdf Rule - Nationally Recognized Statistical Rating Organizations https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-20890.html https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-20890.html Mon, 15 Sep 2014 00:00:00 -0700 2014-20890 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-09-15/pdf/2014-20890.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21736.html https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21736.html Fri, 12 Sep 2014 00:00:00 -0700 2014-21736 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-12/pdf/2014-21736.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21735.html https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21735.html Fri, 12 Sep 2014 00:00:00 -0700 2014-21735 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-12/pdf/2014-21735.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21734.html https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21734.html Fri, 12 Sep 2014 00:00:00 -0700 2014-21734 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-12/pdf/2014-21734.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21733.html https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21733.html Fri, 12 Sep 2014 00:00:00 -0700 2014-21733 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-12/pdf/2014-21733.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21732.html https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21732.html Fri, 12 Sep 2014 00:00:00 -0700 2014-21732 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-12/pdf/2014-21732.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Adopt Extended Trading Hours https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21731.html https://regulations.justia.com/regulations/fedreg/2014/09/12/2014-21731.html Fri, 12 Sep 2014 00:00:00 -0700 2014-21731 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-12/pdf/2014-21731.pdf Proposed Rule - Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21676.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21676.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21676 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21676.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21652.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21652.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21652 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21652.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To (i) Change the Pricing for the Retail Liquidity Program and the Qualification Requirement for the Existing Retail Order Tier, and To Add a New Retail Order Credit Under Basic Rates, and (ii) Eliminate Obsolete Pricing Tiers https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21651.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21651.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21651 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21651.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Arca Integrated Fee, NYSE ArcaBook, NYSE Arca Trades, and NYSE Arca BBO, and To Establish a Fee for Managed Non-Services for NYSE Arca BBO https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21650.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21650.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21650 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21650.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Arca Options Market Data https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21649.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21649.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21649 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21649.pdf Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Position Limits for Individual Stock Based and Exchange-Traded Fund Based Volatility Index Security Futures https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21648.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21648.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21648 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21648.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE Amex Options Market Data https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21647.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21647.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21647 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21647.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change, As Modified by Amendment No. 2 Thereto, To Revise Rules To Provide for the 2014 ISDA Definitions https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21646.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21646.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21646 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21646.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21645.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21645.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21645 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21645.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21644.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21644.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21644 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21644.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, 3, 4, and 5, To List and Trade Shares of the Cambria Global Momentum ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21643.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21643.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21643 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21643.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21642.html https://regulations.justia.com/regulations/fedreg/2014/09/11/2014-21642.html Thu, 11 Sep 2014 00:00:00 -0700 2014-21642 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-11/pdf/2014-21642.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Regarding Strike Price Intervals for SPY and DIA Options https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21529.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21529.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21529 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21529.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21528.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21528.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21528 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21528.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21527.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21527.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21527 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21527.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Interpretative Material to Rule 5050 (Series of Options Contracts Open for Trading) To Allow $1 or Greater Strike Price Intervals for Options on the SPDR® S&P 500® Exchange Traded Fund (“SPY”) and the SPDR® Dow Jones® Industrial Average Exchange Traded Fund (“DIA”) https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21526.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21526.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21526 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21526.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to XSP and DJX Strike Price Listings https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21525.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21525.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21525 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21525.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Strike Setting Regimes for SPY and DIA Options https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21524.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21524.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21524 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21524.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21523.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21523.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21523 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21523.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21521.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21521.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21521 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21521.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating To Listing and Trading of Exchange-Traded Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21520.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21520.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21520 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21520.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment 1, To Amend Its Rules Related to Complex Orders https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21519.html https://regulations.justia.com/regulations/fedreg/2014/09/10/2014-21519.html Wed, 10 Sep 2014 00:00:00 -0700 2014-21519 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-10/pdf/2014-21519.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Establish a Billing Practice With Respect to Billing Disputes https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21391.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21391.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21391 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21391.pdf 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, through NYSE Amex Options LLC Amending the NYSE Amex Options Fee Schedule To Establish Billing Practices with Respect to Billing Disputes https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21390.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21390.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21390 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21390.pdf 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, Through Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services, To Establish a Billing Practice With Respect to Billing Disputes https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21389.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21389.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21389 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21389.pdf Notice - Garrison Capital, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21381.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21381.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21381 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21381.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21366.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21366.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21366 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21366.pdf Notice - Eagle Capital Appreciation Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21365.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21365.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21365 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21365.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Trade Nullification and Price Adjustment https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21364.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21364.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21364 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21364.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Information Related to Aggregation of Activity of Affiliates https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21363.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21363.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21363 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21363.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21362.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21362.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21362 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21362.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21361.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21361.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21361 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21361.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21360.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21360.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21360 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21360.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21359.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21359.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21359 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21359.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21358.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21358.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21358 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21358.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Operation of the NYSE Arca ETP Incentive Program, Currently Scheduled To Expire on September 3, 2014, for an Additional Year https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21357.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21357.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21357 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21357.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to Proposed Changes to NASDAQ Rule 4120(c) To Modify the Parameters for Releasing Securities for Trading Upon the Termination of a Trading Halt in a Security That is the Subject of an Initial Public Offering https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21356.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21356.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21356 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21356.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Increase Certain Fees for Executions at the Close; Simplify the “Tier Adding Credits” for Non-Floor Brokers and Increase the Credit for One Tier; Decrease the Fee and Increase the Credit for Midpoint Passive Liquidity Orders; Eliminate the Transaction Rate for Floor Broker Volume That “Steps Up” Over a Baseline Month and Increase a Related Fee for Floor Broker Transactions; Eliminate a Volume Tier and Decrease a Credit Related to Executions of Orders Sent to the Floor Broker That Add Liquidity on the Exchange; Increase a Volume Requirement and Corresponding Credit for Supplemental Liquidity Providers When Adding Liquidity in Assigned Securities; and Adjust the Pricing Related to the Retail Liquidity Program Under Rule 107C https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21355.html https://regulations.justia.com/regulations/fedreg/2014/09/09/2014-21355.html Tue, 09 Sep 2014 00:00:00 -0700 2014-21355 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-09/pdf/2014-21355.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21454.html https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21454.html Mon, 08 Sep 2014 00:00:00 -0700 2014-21454 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-08/pdf/2014-21454.pdf Notice - In the Matter of Bay Acquisition Corp. (a/k/a SecureLogic Corp.) (n/k/a Goozex Holdings, Inc.), BTHC XV, Inc., Caleco Pharma Corp., and CareAdvantage, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21393.html https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21393.html Mon, 08 Sep 2014 00:00:00 -0700 2014-21393 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-08/pdf/2014-21393.pdf Notice - In the Matter of Asia Cork, Inc., Biocurex, Inc., Carthew Bay Technologies Inc., Current Technology Corp., Gamecorp Ltd. (n/k/a DealNet Capital Corp.), Globetech Ventures Corp., and Pepper Rock Resources Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21392.html https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21392.html Mon, 08 Sep 2014 00:00:00 -0700 2014-21392 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-08/pdf/2014-21392.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21252.html https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21252.html Mon, 08 Sep 2014 00:00:00 -0700 2014-21252 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-08/pdf/2014-21252.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Related to Enhancements to Its Risk Model for Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21251.html https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21251.html Mon, 08 Sep 2014 00:00:00 -0700 2014-21251 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-08/pdf/2014-21251.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Complex Orders https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21250.html https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21250.html Mon, 08 Sep 2014 00:00:00 -0700 2014-21250 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-08/pdf/2014-21250.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions With Sophisticated Municipal Market Professionals (“SMMP”), and Rule D-15, on the Definition of SMMP https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21249.html https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21249.html Mon, 08 Sep 2014 00:00:00 -0700 2014-21249 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-08/pdf/2014-21249.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt a New Order Type Called the Mid-Point Discretionary Order https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21248.html https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21248.html Mon, 08 Sep 2014 00:00:00 -0700 2014-21248 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-08/pdf/2014-21248.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading Shares of ProShares Managed Futures Strategy; ProShares Commodity Managed Futures Strategy; and ProShares Financial Managed Futures Strategy Under NYSE Arca Equities Rule 8.200 https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21247.html https://regulations.justia.com/regulations/fedreg/2014/09/08/2014-21247.html Mon, 08 Sep 2014 00:00:00 -0700 2014-21247 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-08/pdf/2014-21247.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options https://regulations.justia.com/regulations/fedreg/2014/09/05/2014-21122.html https://regulations.justia.com/regulations/fedreg/2014/09/05/2014-21122.html Fri, 05 Sep 2014 00:00:00 -0700 2014-21122 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-05/pdf/2014-21122.pdf Notice - Order Making Fiscal Year 2015 Annual Adjustments to Registration Fee Rates https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21071.html https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21071.html Thu, 04 Sep 2014 00:00:00 -0700 2014-21071 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-04/pdf/2014-21071.pdf Notice - Investment Company Act Release No. IC-31235; 812-14242; Monroe Capital Corporation, et al. https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21004.html https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21004.html Thu, 04 Sep 2014 00:00:00 -0700 2014-21004 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-04/pdf/2014-21004.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21003.html https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21003.html Thu, 04 Sep 2014 00:00:00 -0700 2014-21003 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-04/pdf/2014-21003.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21002.html https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21002.html Thu, 04 Sep 2014 00:00:00 -0700 2014-21002 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-04/pdf/2014-21002.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Related to ICC's Authority to Use Guaranty Fund and House Initial Margin as an Internal Liquidity Resource https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21001.html https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-21001.html Thu, 04 Sep 2014 00:00:00 -0700 2014-21001 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-04/pdf/2014-21001.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Fee Schedule to Adopt Fees for MIAX PRIME https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-20999.html https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-20999.html Thu, 04 Sep 2014 00:00:00 -0700 2014-20999 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-04/pdf/2014-20999.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Amending NYSE Arca Equities Rules 7.6, 7.11, 7.16, 7.31, 7.34, 7.35, 7.37 and 7.65 to Eliminate Certain Order Types, Modifiers and Related References https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-20998.html https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-20998.html Thu, 04 Sep 2014 00:00:00 -0700 2014-20998 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-04/pdf/2014-20998.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Add Rules Related to the Clearing of Standard Western European Sovereign CDS Contracts https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-20997.html https://regulations.justia.com/regulations/fedreg/2014/09/04/2014-20997.html Thu, 04 Sep 2014 00:00:00 -0700 2014-20997 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-04/pdf/2014-20997.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-21005.html https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-21005.html Wed, 03 Sep 2014 00:00:00 -0700 2014-21005 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-03/pdf/2014-21005.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20874.html https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20874.html Wed, 03 Sep 2014 00:00:00 -0700 2014-20874 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-03/pdf/2014-20874.pdf Notice - Advisors Series Trust and Vivaldi Asset Management, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20869.html https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20869.html Wed, 03 Sep 2014 00:00:00 -0700 2014-20869 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-03/pdf/2014-20869.pdf 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. https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20868.html https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20868.html Wed, 03 Sep 2014 00:00:00 -0700 2014-20868 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-03/pdf/2014-20868.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20867.html https://regulations.justia.com/regulations/fedreg/2014/09/03/2014-20867.html Wed, 03 Sep 2014 00:00:00 -0700 2014-20867 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-03/pdf/2014-20867.pdf Notice - In the Matter of QSGI Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20889.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20889.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20889 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20889.pdf Proposed Rule - Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule; Correction https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20731.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20731.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20731 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20731.pdf Notice - Northern Lights Fund Trust II and North Peak Asset Management LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20704.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20704.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20704 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20704.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fees for Non-Display Use of NYSE OpenBook, NYSE Trades, and NYSE BBO, and To Establish Fees for Non-Display Use of NYSE Order Imbalances https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20703.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20703.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20703 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20703.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Market Maker Requirements https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20702.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20702.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20702 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20702.pdf Notice - Self-Regulatory Organizations; ISE Gemini Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change on Sweep Orders https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20701.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20701.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20701 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20701.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Lead Market Maker Rules https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20700.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20700.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20700 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20700.pdf Notice - Order Granting a Limited Exemption From Rule 102(a) of Regulation M to Jones Lang LaSalle Income Property Trust Pursuant to Rule 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20699.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20699.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20699 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20699.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To (i) Delete Obsolete Rules Relating to Exchange-Listed Options Trading and Related References (NYSE Rules 700-794); (ii) Delete Obsolete Rules Related to the Defunct Exchange Stock Portfolio Service and Related References (NYSE Rules 800-817); and (iii) Amend NYSE Rules 15A and 123D To Remove Outdated References to the Terminated Intermarket Trading System Plan https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20698.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20698.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20698 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20698.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Delete Functionality Permitting Primary Only Orders and Primary Sweep Orders To Be Designated With Intermarket Sweep Order Modifiers https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20697.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20697.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20697 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20697.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 15.5 To Provide Additional Clarity and Precision, Correct Certain Citations, and Align the Rule With the Rules of Other Exchanges With Respect to the Original and Continued Listing Standards for Issuers' Compensation Committees https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20696.html https://regulations.justia.com/regulations/fedreg/2014/09/02/2014-20696.html Tue, 02 Sep 2014 00:00:00 -0700 2014-20696 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-09-02/pdf/2014-20696.pdf