<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/10/07?registers=between Sat, 23 Nov 2024 01:19:14 -0800 Sat, 23 Nov 2024 01:19:14 -0800 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/2014/10/07?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23990.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23990.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23990 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23990.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23989.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23989.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23989 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23989.pdf Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twentieth Substantive Amendment to the Second Restatement of the CTA Plan and Fourteenth Substantive Amendment to the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23849.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23849.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23849 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23849.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.2NY To Codify the Terms Complex BBO and Complex NBBO and To Amend Exchange Rule 900.3NY(w) To Revise the Definition of a PNP Plus Order https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23848.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23848.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23848 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23848.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 2, Related to Enhancements to Its Risk Model for Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23847.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23847.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23847 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23847.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca, Inc.'s Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23841.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23841.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23841 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23841.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.2A To Authorize the Exchange To Share Any User-Designated Risk Settings in Exchange Systems With the Clearing Member That Clears Transactions on Behalf of the User https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23840.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23840.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23840 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23840.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 902.1NY To Authorize the Exchange To Share Any User-Designated Risk Settings in Exchange Systems With the Clearing Member That Clears Transactions on Behalf of the User https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23839.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23839.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23839 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23839.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 33 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23838.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23838.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23838 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23838.pdf Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-First Charges Amendment to the Second Restatement of the CTA Plan and Twelfth Charges Amendment to the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23837.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23837.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23837 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23837.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23836.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23836.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23836 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23836.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23835.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23835.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23835 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23835.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Related to Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23834.html https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23834.html Tue, 07 Oct 2014 00:00:00 -0700 2014-23834 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23834.pdf