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

Results 51 - 100 of 182
Proposed Collection; Comment Request
Document Number: 2014-22548
Type: Notice
Date: 2014-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22548.html
Proposed Collection; Comment Request
Document Number: 2014-22547
Type: Notice
Date: 2014-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22547.html
Proposed Collection; Comment Request
Document Number: 2014-22546
Type: Notice
Date: 2014-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22546.html
Proposed Collection; Comment Request
Document Number: 2014-22545
Type: Notice
Date: 2014-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22545.html
Proposed Collection; Comment Request
Document Number: 2014-22544
Type: Notice
Date: 2014-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22544.html
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
Document Number: 2014-22542
Type: Notice
Date: 2014-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22542.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICE Clear Europe Delivery Procedures
Document Number: 2014-22541
Type: Notice
Date: 2014-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22541.html
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
Document Number: 2014-22540
Type: Notice
Date: 2014-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/23/2014-22540.html
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
Document Number: 2014-22573
Type: Notice
Date: 2014-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/22/2014-22573.html
In the Matter of Gepco, Ltd.; Order of Suspension of Trading
Document Number: 2014-22567
Type: Notice
Date: 2014-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/22/2014-22567.html
Sunshine Act Meetings
Document Number: 2014-22543
Type: Notice
Date: 2014-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/22/2014-22543.html
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
Document Number: C1-2014-21527
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/C1-2014-21527.html
Evanston Alternative Opportunities Fund and Evanston Capital Management, LLC; Notice of Application
Document Number: 2014-22339
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22339.html
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
Document Number: 2014-22338
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22338.html
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
Document Number: 2014-22337
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22337.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2014-22336
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22336.html
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
Document Number: 2014-22335
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22335.html
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
Document Number: 2014-22334
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22334.html
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
Document Number: 2014-22333
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22333.html
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
Document Number: 2014-22332
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22332.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc.
Document Number: 2014-22327
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22327.html
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.
Document Number: 2014-22326
Type: Notice
Date: 2014-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/19/2014-22326.html
Submission for OMB Review; Comment Request
Document Number: 2014-22246
Type: Notice
Date: 2014-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22246.html
Submission for OMB Review; Comment Request
Document Number: 2014-22245
Type: Notice
Date: 2014-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22245.html
Submission for OMB Review; Comment Request
Document Number: 2014-22244
Type: Notice
Date: 2014-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22244.html
Submission for OMB Review; Comment Request
Document Number: 2014-22243
Type: Notice
Date: 2014-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/18/2014-22243.html
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
Document Number: 2014-22262
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22262.html
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
Document Number: 2014-22261
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22261.html
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
Document Number: 2014-22163
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22163.html
SSgA MasterTrust and SSgA Funds Management, Inc.; Notice of Application
Document Number: 2014-22119
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit open-end management investment companies relying on rule 12d1-2 under the Act to invest in certain financial instruments. Applicants: SSgA Master Trust (``SSMT'') and SSgA Funds Management, Inc. (``SSFMI'').
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22119.html
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
Document Number: 2014-22118
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22118.html
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
Document Number: 2014-22117
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22117.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: 2014-22116
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22116.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: 2014-22115
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22115.html
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
Document Number: 2014-22114
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22114.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Approval of Proposed Rule Change to Liquidity Policies Relating to EMIR
Document Number: 2014-22113
Type: Notice
Date: 2014-09-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/17/2014-22113.html
Sunshine Act Meetings
Document Number: 2014-22121
Type: Notice
Date: 2014-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22121.html
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
Document Number: 2014-22004
Type: Notice
Date: 2014-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22004.html
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
Document Number: 2014-22003
Type: Notice
Date: 2014-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22003.html
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
Document Number: 2014-22002
Type: Notice
Date: 2014-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/16/2014-22002.html
Validea Capital Management, LLC, et al.; Notice of Application
Document Number: 2014-21889
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21889.html
BNY Mellon Funds Trust, et al.;
Document Number: 2014-21888
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: Applicants request an order that would permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies, registered closed-end management investment companies, ``business development companies,'' as defined by section 2(a)(48) of the 1940 Act (``business development companies''), and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies. Applicants: BNY Mellon Funds Trust (``BNY Mellon Funds''); Dreyfus BNY Mellon Funds, Inc. (``Dreyfus BNY Mellon Funds''); Dreyfus Premier Investment Funds, Inc. (``Premier Investment Funds''); Strategic Funds, Inc. (``Strategic Funds'') (each an ``Investment Company,'' and collectively, the ``Investment Companies''); The Dreyfus Corporation (``Adviser''); and MBSC Securities Corporation (the ``Distributor'').
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21888.html
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
Document Number: 2014-21875
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21875.html
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
Document Number: 2014-21874
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21874.html
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
Document Number: 2014-21873
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21873.html
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
Document Number: 2014-21872
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21872.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Fees
Document Number: 2014-21871
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21871.html
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
Document Number: 2014-21870
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21870.html
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
Document Number: 2014-21869
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21869.html
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
Document Number: 2014-21868
Type: Notice
Date: 2014-09-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/09/15/2014-21868.html
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