Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/10/21?limit=200&registers=between&mode=atom 2024-11-23T01:04:28-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-25084.html Notice - Sunshine Act Meeting 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-25084 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-25084.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24957.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Margin Treatment of Over-the-Counter Options Contracts Cleared by The Options Clearing Corporation 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24957 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24957.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24955.html Notice - Proposed Collection; Comment Request 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24955 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24955.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24954.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, Regarding Continuing Education Requirements 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24954 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24954.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24953.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 970NY and Rule 970.1NY 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24953 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24953.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24952.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc. To Add Price Adjust Functionality 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24952 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24952.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24951.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Its Collateral Acceptance Practices for Its Base Guaranty Fund 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24951 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24951.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24950.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of Eight PIMCO Exchange-Traded Funds 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24950 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24950.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24949.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc. To Add Price Adjust Functionality 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24949 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24949.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24948.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Plan and Amending Rule 6.86 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24948 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24948.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24947.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes Related to Fees for Use of BATS Exchange, Inc. 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24947 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24947.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24946.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 52 (Mutual Fund Services) and Addendum A (Fee Structure) With Respect to the DTCC Payment aXis Service, and To Make Certain Technical Changes 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24946 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24946.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24945.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend Certain of Its Rules To Remove and Replace Obsolete References to Fixed Return Options With the Updated References to Binary Return Derivatives Contracts 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24945 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24945.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24944.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16 of BATS Y-Exchange, Inc. 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24944 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24944.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24943.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16 of BATS Exchange, Inc. 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24943 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24943.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24942.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Order Routing Subsidy Program and the Complex Order Routing Subsidy Program 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24942 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24942.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24941.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 To Specify That Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information Is Disseminated When an Opening is Delayed 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24941 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24941.pdf https://regulations.justia.com/regulations/fedreg/2014/10/21/2014-24940.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15-Equities To Specify That Exchange Systems Can Publish Pre-Opening Indications and To Extend the Time Order Imbalance Information is Disseminated When an Opening Is Delayed 2014-10-21T00:00:00-07:00 2014-10-21T00:00:00-07:00 2014-24940 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-21/pdf/2014-24940.pdf