<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/10/29?registers=between Sat, 23 Nov 2024 01:01:17 -0800 Sat, 23 Nov 2024 01:01:17 -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/2014/10/29?registers=between Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and To List and Trade Shares of the ActiveShares Large-Cap Fund, ActiveShares Mid-Cap Fund, and ActiveShares Multi-Cap Fund Pursuant to That Rule https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25714.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25714.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25714 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25714.pdf Notice - Automated Matching Systems Exchange, LLC; Order Instituting Proceedings To Determine Whether To Grant or Deny an Application for an Exemption From Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25675.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25675.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25675 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25675.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, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Listing and Trading of Shares of the NASDAQ-100 DIVS Index ETF Under Rule 5705 https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25674.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25674.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25674 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25674.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change as Modified by Amendment Nos. 1 and 4 Thereto, Relating to Listing and Trading of Shares of the Reality Shares DIVS Index ETF Under NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25673.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25673.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25673 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25673.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of “Third-Party Data” https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25672.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25672.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25672 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25672.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/2014/10/29/2014-25671.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25671.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25671 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25671.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change To Establish the Retail Price Improvement Program on a Pilot Basis Expiring Twelve Months From the Date of Implementation https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25670.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25670.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25670 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25670.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25669.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25669.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25669 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25669.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/2014/10/29/2014-25668.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25668.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25668 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25668.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25667.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25667.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25667 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25667.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25666.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25666.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25666 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25666.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25536.html https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25536.html Wed, 29 Oct 2014 00:00:00 -0700 2014-25536 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25536.pdf