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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-25T07:07:39-07:00 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/2014/10/31/2014-25890.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt New Exchange Rule 1081, Solicitation Mechanism, To Introduce a New Electronic Solicitation Mechanism 2014-10-31T00:00:00-07:00 2014-10-31T00:00:00-07:00 2014-25890 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-31/pdf/2014-25890.pdf https://regulations.justia.com/regulations/fedreg/2014/10/31/2014-25888.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Use of Derivative Instruments by the AdvisorShares Global Echo ETF 2014-10-31T00:00:00-07:00 2014-10-31T00:00:00-07:00 2014-25888 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-31/pdf/2014-25888.pdf https://regulations.justia.com/regulations/fedreg/2014/10/31/2014-25881.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees 2014-10-31T00:00:00-07:00 2014-10-31T00:00:00-07:00 2014-25881 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-31/pdf/2014-25881.pdf https://regulations.justia.com/regulations/fedreg/2014/10/31/2014-25880.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBOE Trade Match System 2014-10-31T00:00:00-07:00 2014-10-31T00:00:00-07:00 2014-25880 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-31/pdf/2014-25880.pdf https://regulations.justia.com/regulations/fedreg/2014/10/31/2014-25879.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Process All Sell Transactions Prior to the Exercise of Long Options in Market-Maker Accounts To Ensure That Only Net Long Positions May Be Exercised 2014-10-31T00:00:00-07:00 2014-10-31T00:00:00-07:00 2014-25879 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-31/pdf/2014-25879.pdf https://regulations.justia.com/regulations/fedreg/2014/10/31/2014-25878.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Complex Order Book 2014-10-31T00:00:00-07:00 2014-10-31T00:00:00-07:00 2014-25878 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-31/pdf/2014-25878.pdf https://regulations.justia.com/regulations/fedreg/2014/10/31/2014-25877.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Complex Order Book 2014-10-31T00:00:00-07:00 2014-10-31T00:00:00-07:00 2014-25877 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-31/pdf/2014-25877.pdf https://regulations.justia.com/regulations/fedreg/2014/10/31/2014-25876.html Notice - Proposed Collection; Comment Request 2014-10-31T00:00:00-07:00 2014-10-31T00:00:00-07:00 2014-25876 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-31/pdf/2014-25876.pdf https://regulations.justia.com/regulations/fedreg/2014/10/30/2014-25782.html Notice - Canadian Derivatives Clearing Corporation; Order Approving Accelerated Distribution of an Amended Options Disclosure Document 2014-10-30T00:00:00-07:00 2014-10-30T00:00:00-07:00 2014-25782 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-30/pdf/2014-25782.pdf https://regulations.justia.com/regulations/fedreg/2014/10/30/2014-25781.html Notice - ETF Securities Advisors LLC, et al.; Notice of Application 2014-10-30T00:00:00-07:00 2014-10-30T00:00:00-07:00 2014-25781 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-30/pdf/2014-25781.pdf https://regulations.justia.com/regulations/fedreg/2014/10/30/2014-25780.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule 2014-10-30T00:00:00-07:00 2014-10-30T00:00:00-07:00 2014-25780 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-30/pdf/2014-25780.pdf https://regulations.justia.com/regulations/fedreg/2014/10/30/2014-25779.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program 2014-10-30T00:00:00-07:00 2014-10-30T00:00:00-07:00 2014-25779 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-30/pdf/2014-25779.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25714.html 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 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25714 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25714.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25675.html 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 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25675 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25675.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25674.html 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 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25674 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25674.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25673.html 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) 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25673 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25673.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25672.html 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” 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25672 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25672.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25671.html 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. 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25671 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25671.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25670.html 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 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25670 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25670.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25669.html 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 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25669 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25669.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25668.html 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. 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25668 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25668.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25667.html 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. 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25667 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25667.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25666.html 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. 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25666 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25666.pdf https://regulations.justia.com/regulations/fedreg/2014/10/29/2014-25536.html Rule - Adoption of Updated EDGAR Filer Manual 2014-10-29T00:00:00-07:00 2014-10-29T00:00:00-07:00 2014-25536 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-10-29/pdf/2014-25536.pdf https://regulations.justia.com/regulations/fedreg/2014/10/28/2014-25676.html Notice - Sunshine Act Meeting 2014-10-28T00:00:00-07:00 2014-10-28T00:00:00-07:00 2014-25676 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-28/pdf/2014-25676.pdf https://regulations.justia.com/regulations/fedreg/2014/10/28/2014-25576.html Notice - In the Matter of Icon Public Ltd. Co.; Order Withdrawing Trading Suspension 2014-10-28T00:00:00-07:00 2014-10-28T00:00:00-07:00 2014-25576 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-28/pdf/2014-25576.pdf https://regulations.justia.com/regulations/fedreg/2014/10/28/2014-25550.html Notice - Ares Real Estate Management Holdings, LLC; Notice of Application 2014-10-28T00:00:00-07:00 2014-10-28T00:00:00-07:00 2014-25550 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-28/pdf/2014-25550.pdf https://regulations.justia.com/regulations/fedreg/2014/10/28/2014-25549.html Notice - Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC; Notice of Application 2014-10-28T00:00:00-07:00 2014-10-28T00:00:00-07:00 2014-25549 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-28/pdf/2014-25549.pdf https://regulations.justia.com/regulations/fedreg/2014/10/28/2014-25548.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Complex Orders 2014-10-28T00:00:00-07:00 2014-10-28T00:00:00-07:00 2014-25548 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-28/pdf/2014-25548.pdf https://regulations.justia.com/regulations/fedreg/2014/10/24/2014-25302.html Notice - Tennenbaum Opportunities Fund V, LLC, et al.; Notice of Application 2014-10-24T00:00:00-07:00 2014-10-24T00:00:00-07:00 2014-25302 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-24/pdf/2014-25302.pdf https://regulations.justia.com/regulations/fedreg/2014/10/24/2014-25301.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Clearing Rules of the Mortgage-Backed Securities Division To Establish a Membership Category and Minimum Financial Requirements for Insured Credit Unions 2014-10-24T00:00:00-07:00 2014-10-24T00:00:00-07:00 2014-25301 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-24/pdf/2014-25301.pdf https://regulations.justia.com/regulations/fedreg/2014/10/23/2014-25207.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Government Securities Division Rulebook in Order To Establish an Early Unwind Intraday Charge in Connection With the Inclusion of GCF Repo® Positions in GSD's Intraday Participant Clearing Fund Requirement, and GSD's Hourly Internal Surveillance Cycles 2014-10-23T00:00:00-07:00 2014-10-23T00:00:00-07:00 2014-25207 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-23/pdf/2014-25207.pdf https://regulations.justia.com/regulations/fedreg/2014/10/23/2014-25204.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of Standard Western European Sovereign CDS Contracts 2014-10-23T00:00:00-07:00 2014-10-23T00:00:00-07:00 2014-25204 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-23/pdf/2014-25204.pdf https://regulations.justia.com/regulations/fedreg/2014/10/23/2014-25203.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Miami International Securities Exchange, LLC 2014-10-23T00:00:00-07:00 2014-10-23T00:00:00-07:00 2014-25203 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-23/pdf/2014-25203.pdf https://regulations.justia.com/regulations/fedreg/2014/10/23/2014-25202.html Notice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice Filing, as Amended by Amendment No. 1, Concerning the Government Security Division's Inclusion of GCF Repo® Positions in Its Intraday Participant Clearing Fund Requirement Calculation, and Its Hourly Internal Surveillance Cycles 2014-10-23T00:00:00-07:00 2014-10-23T00:00:00-07:00 2014-25202 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-23/pdf/2014-25202.pdf https://regulations.justia.com/regulations/fedreg/2014/10/23/2014-25201.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Exchange of Contract for Related Position Transactions and Minor Rule Violations 2014-10-23T00:00:00-07:00 2014-10-23T00:00:00-07:00 2014-25201 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-23/pdf/2014-25201.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25208.html Notice - Sunshine Act Meeting 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25208 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25208.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25148.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rule 1107 Concerning Exchange Arbitrations 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25148 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25148.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25083.html Notice - BlackRock Advisors, LLC, et al.; Notice of Application 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25083 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25083.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25082.html Notice - Principal Real Estate Income Fund and ALPS Advisors, Inc.; Notice of Application 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25082 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25082.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25081.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25081 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25081.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25080.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change in Connection With the Proposed Termination of the Amended and Restated Trust Agreement, Dated as of November 13, 2013 and Amended on June 2, 2014 By and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and Each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25080 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25080.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25079.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Termination of the Amended and Restated Trust Agreement, Dated as of November 13, 2013 and Amended on June 2, 2014 by and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and Each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25079 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25079.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25078.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Termination of the Amended and Restated Trust Agreement, Dated as of November 13, 2013 and Amended on June 2, 2014 By and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and Each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25078 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25078.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25077.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 850 Regarding Fees 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25077 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25077.pdf https://regulations.justia.com/regulations/fedreg/2014/10/22/2014-25076.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to CME Rule 816 2014-10-22T00:00:00-07:00 2014-10-22T00:00:00-07:00 2014-25076 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-22/pdf/2014-25076.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/10/20/2014-24871.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Amendments to Reflect Recent Deletion of Rule 343-Equities 2014-10-20T00:00:00-07:00 2014-10-20T00:00:00-07:00 2014-24871 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-20/pdf/2014-24871.pdf https://regulations.justia.com/regulations/fedreg/2014/10/20/2014-24779.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice Concerning Enhancements to the Risk Management Framework Applied to the Clearance of Confirmed Trades Executed in Extended and Overnight Trading Sessions 2014-10-20T00:00:00-07:00 2014-10-20T00:00:00-07:00 2014-24779 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-20/pdf/2014-24779.pdf https://regulations.justia.com/regulations/fedreg/2014/10/20/2014-24778.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2014-10-20T00:00:00-07:00 2014-10-20T00:00:00-07:00 2014-24778 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-20/pdf/2014-24778.pdf https://regulations.justia.com/regulations/fedreg/2014/10/20/2014-24777.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rules and Procedures 2014-10-20T00:00:00-07:00 2014-10-20T00:00:00-07:00 2014-24777 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-20/pdf/2014-24777.pdf https://regulations.justia.com/regulations/fedreg/2014/10/20/2014-24776.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Related to ICC's Use of House Initial Margin as an Internal Liquidity Resource 2014-10-20T00:00:00-07:00 2014-10-20T00:00:00-07:00 2014-24776 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-20/pdf/2014-24776.pdf https://regulations.justia.com/regulations/fedreg/2014/10/20/2014-24775.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EMIR Requirements 2014-10-20T00:00:00-07:00 2014-10-20T00:00:00-07:00 2014-24775 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-20/pdf/2014-24775.pdf https://regulations.justia.com/regulations/fedreg/2014/10/17/2014-24877.html Notice - Managed Portfolio Series, et al.; Notice of Application 2014-10-17T00:00:00-07:00 2014-10-17T00:00:00-07:00 2014-24877 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-17/pdf/2014-24877.pdf https://regulations.justia.com/regulations/fedreg/2014/10/17/2014-24685.html Notice - New Mountain Finance Corporation, et al.; Notice of Application 2014-10-17T00:00:00-07:00 2014-10-17T00:00:00-07:00 2014-24685 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-17/pdf/2014-24685.pdf https://regulations.justia.com/regulations/fedreg/2014/10/17/2014-24684.html Notice - SunAmerica Series Trust, et al.; Notice of Application 2014-10-17T00:00:00-07:00 2014-10-17T00:00:00-07:00 2014-24684 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-17/pdf/2014-24684.pdf https://regulations.justia.com/regulations/fedreg/2014/10/17/2014-24683.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Interest Rate Hedged 0-5 Year High Yield Bond ETF, iShares Interest Rate Hedged 10+ Year Credit Bond ETF, and the iShares Interest Rate Hedged Emerging Markets Bond ETF Under NYSE Arca Equities Rule 8.600 2014-10-17T00:00:00-07:00 2014-10-17T00:00:00-07:00 2014-24683 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-17/pdf/2014-24683.pdf https://regulations.justia.com/regulations/fedreg/2014/10/17/2014-24682.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date of Market Participant Identifier Requirements for Alternative Trading Systems 2014-10-17T00:00:00-07:00 2014-10-17T00:00:00-07:00 2014-24682 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-17/pdf/2014-24682.pdf https://regulations.justia.com/regulations/fedreg/2014/10/17/2014-24681.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Per Share Estimated Valuations for Unlisted DPP and REIT Securities 2014-10-17T00:00:00-07:00 2014-10-17T00:00:00-07:00 2014-24681 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-17/pdf/2014-24681.pdf https://regulations.justia.com/regulations/fedreg/2014/10/17/2014-24680.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program 2014-10-17T00:00:00-07:00 2014-10-17T00:00:00-07:00 2014-24680 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-17/pdf/2014-24680.pdf https://regulations.justia.com/regulations/fedreg/2014/10/16/2014-24547.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT, Inc.; Order Approving Proposed Rule Changes Amending Exchange Rule 13 To Make the Add Liquidity Only Modifier Available for Limit Orders, and Make the Day Time-In-Force Condition and Add Liquidity Only Modifier Available for Intermarket Sweep Orders 2014-10-16T00:00:00-07:00 2014-10-16T00:00:00-07:00 2014-24547 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24547.pdf https://regulations.justia.com/regulations/fedreg/2014/10/16/2014-24546.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt as Permanent the Limited Fee Waiver Pilot Program Pursuant to FINRA Rule 7730 2014-10-16T00:00:00-07:00 2014-10-16T00:00:00-07:00 2014-24546 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24546.pdf https://regulations.justia.com/regulations/fedreg/2014/10/16/2014-24545.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Use of Derivative Instruments by Certain PIMCO Exchange-Traded Funds 2014-10-16T00:00:00-07:00 2014-10-16T00:00:00-07:00 2014-24545 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24545.pdf https://regulations.justia.com/regulations/fedreg/2014/10/16/2014-24544.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Floor Procedure Advice F-27, Options Exchange Official Rulings 2014-10-16T00:00:00-07:00 2014-10-16T00:00:00-07:00 2014-24544 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24544.pdf https://regulations.justia.com/regulations/fedreg/2014/10/16/2014-24543.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Retail Liquidity Program and NYSE Arca Equities Rule 7.44 To Provide That Retail Price Improvement Orders That Are Not Priced Better Than the Best Protected Bid or Best Protected Offer Will Not Be Rejected Upon Entry 2014-10-16T00:00:00-07:00 2014-10-16T00:00:00-07:00 2014-24543 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24543.pdf https://regulations.justia.com/regulations/fedreg/2014/10/16/2014-24542.html 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 2014-10-16T00:00:00-07:00 2014-10-16T00:00:00-07:00 2014-24542 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24542.pdf https://regulations.justia.com/regulations/fedreg/2014/10/16/2014-24541.html 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 2014-10-16T00:00:00-07:00 2014-10-16T00:00:00-07:00 2014-24541 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24541.pdf https://regulations.justia.com/regulations/fedreg/2014/10/16/2014-24540.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule 2014-10-16T00:00:00-07:00 2014-10-16T00:00:00-07:00 2014-24540 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24540.pdf https://regulations.justia.com/regulations/fedreg/2014/10/16/2014-24539.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Amendments To Reflect Recent Deletion of Rule 343 2014-10-16T00:00:00-07:00 2014-10-16T00:00:00-07:00 2014-24539 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-16/pdf/2014-24539.pdf https://regulations.justia.com/regulations/fedreg/2014/10/15/2014-24454.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032 2014-10-15T00:00:00-07:00 2014-10-15T00:00:00-07:00 2014-24454 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-15/pdf/2014-24454.pdf https://regulations.justia.com/regulations/fedreg/2014/10/15/2014-24423.html Notice - Eaton Vance Distributors, Inc. and Eaton Vance Unit Trust; Notice of Application 2014-10-15T00:00:00-07:00 2014-10-15T00:00:00-07:00 2014-24423 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-15/pdf/2014-24423.pdf https://regulations.justia.com/regulations/fedreg/2014/10/15/2014-24422.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes in the Concentration Policies of ARK Innovation ETF and ARK Genomic Revolution ETF as Well as a Change in the Name of the ARK Genomic Revolution ETF to the ARK Genomic Revolution Multi-Sector ETF 2014-10-15T00:00:00-07:00 2014-10-15T00:00:00-07:00 2014-24422 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-15/pdf/2014-24422.pdf https://regulations.justia.com/regulations/fedreg/2014/10/15/2014-24421.html 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 To List and Trade Shares of Hull Tactical US ETF Under NYSE Arca Equities Rule 8.600 2014-10-15T00:00:00-07:00 2014-10-15T00:00:00-07:00 2014-24421 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-15/pdf/2014-24421.pdf https://regulations.justia.com/regulations/fedreg/2014/10/15/2014-24420.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Broaden Arbitrators' Authority To Make Referrals During an Arbitration Proceeding 2014-10-15T00:00:00-07:00 2014-10-15T00:00:00-07:00 2014-24420 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-15/pdf/2014-24420.pdf https://regulations.justia.com/regulations/fedreg/2014/10/15/2014-24419.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 723 to Add a New PIM ISO Order Type 2014-10-15T00:00:00-07:00 2014-10-15T00:00:00-07:00 2014-24419 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-15/pdf/2014-24419.pdf https://regulations.justia.com/regulations/fedreg/2014/10/15/2014-24418.html Notice - Self-Regulatory Organizations; ISE Gemini Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 723 To Add a New PIM ISO Order Type 2014-10-15T00:00:00-07:00 2014-10-15T00:00:00-07:00 2014-24418 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-15/pdf/2014-24418.pdf https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24304.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Algo Test Facility 2014-10-14T00:00:00-07:00 2014-10-14T00:00:00-07:00 2014-24304 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-14/pdf/2014-24304.pdf https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24303.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs That Permit the Exchange To Have No Minimum Size Requirement for Orders Entered Into the PIP (“PIP Pilot Program”) and COPIP (“COPIP Pilot Program”) Until December 18, 2014 2014-10-14T00:00:00-07:00 2014-10-14T00:00:00-07:00 2014-24303 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-14/pdf/2014-24303.pdf https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24302.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service 2014-10-14T00:00:00-07:00 2014-10-14T00:00:00-07:00 2014-24302 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-14/pdf/2014-24302.pdf https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24301.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 705 (Fidelity Bonds) 2014-10-14T00:00:00-07:00 2014-10-14T00:00:00-07:00 2014-24301 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-14/pdf/2014-24301.pdf https://regulations.justia.com/regulations/fedreg/2014/10/14/2014-24300.html Rule - Nationally Recognized Statistical Rating Organizations; Correction 2014-10-14T00:00:00-07:00 2014-10-14T00:00:00-07:00 2014-24300 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-10-14/pdf/2014-24300.pdf https://regulations.justia.com/regulations/fedreg/2014/10/10/2014-24228.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 46 2014-10-10T00:00:00-07:00 2014-10-10T00:00:00-07:00 2014-24228 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-10/pdf/2014-24228.pdf https://regulations.justia.com/regulations/fedreg/2014/10/10/2014-24227.html 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 2014-10-10T00:00:00-07:00 2014-10-10T00:00:00-07:00 2014-24227 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-10/pdf/2014-24227.pdf https://regulations.justia.com/regulations/fedreg/2014/10/10/2014-24226.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change That Constitutes a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 46-Equities 2014-10-10T00:00:00-07:00 2014-10-10T00:00:00-07:00 2014-24226 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-10/pdf/2014-24226.pdf https://regulations.justia.com/regulations/fedreg/2014/10/10/2014-24209.html Notice - DBX ETF Trust, et al.; Notice of Application 2014-10-10T00:00:00-07:00 2014-10-10T00:00:00-07:00 2014-24209 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-10/pdf/2014-24209.pdf https://regulations.justia.com/regulations/fedreg/2014/10/10/2014-24208.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Reference to Exchange Act Rule 10C-1 in the Exchange's Rules Concerning Unlisted Trading Privileges 2014-10-10T00:00:00-07:00 2014-10-10T00:00:00-07:00 2014-24208 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-10/pdf/2014-24208.pdf https://regulations.justia.com/regulations/fedreg/2014/10/10/2014-24207.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2014-10-10T00:00:00-07:00 2014-10-10T00:00:00-07:00 2014-24207 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-10/pdf/2014-24207.pdf https://regulations.justia.com/regulations/fedreg/2014/10/10/2014-24206.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Fees for Optional Wireless Connectivity for Co-Located Clients 2014-10-10T00:00:00-07:00 2014-10-10T00:00:00-07:00 2014-24206 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-10/pdf/2014-24206.pdf https://regulations.justia.com/regulations/fedreg/2014/10/09/2014-24102.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) 2014-10-09T00:00:00-07:00 2014-10-09T00:00:00-07:00 2014-24102 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-09/pdf/2014-24102.pdf https://regulations.justia.com/regulations/fedreg/2014/10/09/2014-24101.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ProShares Morningstar Alternatives Solution ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2014-10-09T00:00:00-07:00 2014-10-09T00:00:00-07:00 2014-24101 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-09/pdf/2014-24101.pdf https://regulations.justia.com/regulations/fedreg/2014/10/09/2014-24100.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.13 and 21.9 of BATS Exchange, Inc. 2014-10-09T00:00:00-07:00 2014-10-09T00:00:00-07:00 2014-24100 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-09/pdf/2014-24100.pdf https://regulations.justia.com/regulations/fedreg/2014/10/09/2014-24099.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Y-Exchange, Inc. 2014-10-09T00:00:00-07:00 2014-10-09T00:00:00-07:00 2014-24099 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-09/pdf/2014-24099.pdf https://regulations.justia.com/regulations/fedreg/2014/10/08/2014-23984.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation, and Solicited Orders in Open Outcry Trading 2014-10-08T00:00:00-07:00 2014-10-08T00:00:00-07:00 2014-23984 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-08/pdf/2014-23984.pdf https://regulations.justia.com/regulations/fedreg/2014/10/08/2014-23983.html 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 Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit 2014-10-08T00:00:00-07:00 2014-10-08T00:00:00-07:00 2014-23983 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-08/pdf/2014-23983.pdf https://regulations.justia.com/regulations/fedreg/2014/10/08/2014-23982.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050 2014-10-08T00:00:00-07:00 2014-10-08T00:00:00-07:00 2014-23982 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-08/pdf/2014-23982.pdf https://regulations.justia.com/regulations/fedreg/2014/10/08/2014-23981.html 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 Modify the Fees That It Charges for Routing Orders to the New York Stock Exchange LLC 2014-10-08T00:00:00-07:00 2014-10-08T00:00:00-07:00 2014-23981 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-08/pdf/2014-23981.pdf https://regulations.justia.com/regulations/fedreg/2014/10/08/2014-23980.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Amendments to CME ClearPort Hours for Certain Commodity Index Cleared OTC Swap Contracts 2014-10-08T00:00:00-07:00 2014-10-08T00:00:00-07:00 2014-23980 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-08/pdf/2014-23980.pdf https://regulations.justia.com/regulations/fedreg/2014/10/08/2014-23979.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 60 2014-10-08T00:00:00-07:00 2014-10-08T00:00:00-07:00 2014-23979 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-08/pdf/2014-23979.pdf https://regulations.justia.com/regulations/fedreg/2014/10/08/2014-23978.html Notice - Submission for OMB Review; Comment Request 2014-10-08T00:00:00-07:00 2014-10-08T00:00:00-07:00 2014-23978 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-08/pdf/2014-23978.pdf https://regulations.justia.com/regulations/fedreg/2014/10/08/2014-23977.html Notice - Submission for OMB Review; Comment Request 2014-10-08T00:00:00-07:00 2014-10-08T00:00:00-07:00 2014-23977 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-08/pdf/2014-23977.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23990.html Notice - Sunshine Act Meeting 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23990 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23990.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23989.html Notice - Sunshine Act Meeting 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23989 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23989.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23849.html 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 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23849 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23849.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23848.html 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 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23848 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23848.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23847.html 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 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23847 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23847.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23841.html 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 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23841 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23841.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23840.html 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 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23840 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23840.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23839.html 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 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23839 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23839.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23838.html 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. 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23838 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23838.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23837.html 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 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23837 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23837.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23836.html 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 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23836 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23836.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23835.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23835 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23835.pdf https://regulations.justia.com/regulations/fedreg/2014/10/07/2014-23834.html 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 2014-10-07T00:00:00-07:00 2014-10-07T00:00:00-07:00 2014-23834 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-07/pdf/2014-23834.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23708.html Notice - Submission for OMB Review; Comment Request 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23708 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23708.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23707.html Notice - Submission for OMB Review; Comment Request 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23707 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23707.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23706.html Notice - Submission for OMB Review; Comment Request 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23706 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23706.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23705.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt and Amend Fees for the CHX Routing Services 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23705 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23705.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23704.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.1A To Codify the Terms Complex BBO and Complex NBBO and To Amend Rule 6.62(y) To Revise the Definition of a PNP Plus Order 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23704 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23704.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23703.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Provide a New Optional Functionality to Minimum Quantity Orders 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23703 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23703.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23702.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102.01C of the NYSE Listed Company Manual To Adopt a New Global Market Capitalization Test Initial Listing Standard for Operating Companies and To Eliminate All of the Current Initial Listing Standards for Operating Companies Except the Earnings Test 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23702 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23702.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23701.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Amending Its Information Barrier Rules 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23701 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23701.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23700.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Acceptance of a New Series of Credit Default Swap Index Product 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23700 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23700.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23699.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Settlement Procedures Regarding a CME Cleared OTC FX Spot, Forward and Swap Contract 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23699 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23699.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23698.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal To Enter a New Credit Facility Agreement 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23698 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23698.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23697.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62 (Certain Types of Orders Defined) by Deleting WAIT Orders From Its Rules 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23697 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23697.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23696.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 900.3NY (Orders Defined) To Delete WAIT Orders From Its Rules 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23696 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23696.pdf https://regulations.justia.com/regulations/fedreg/2014/10/06/2014-23655.html Notice - Joint Industry Plan; Notice of Filing of Amendment No. 32 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, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Arca, Inc. and NYSE MKT, LLC 2014-10-06T00:00:00-07:00 2014-10-06T00:00:00-07:00 2014-23655 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-06/pdf/2014-23655.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23747.html Notice - In the Matter of Nudg Media Inc.; Order of Suspension of Trading 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23747 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23747.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23576.html Notice - Submission for OMB Review; Comment Request 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23576 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23576.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23575.html Notice - Submission for OMB Review; Comment Request 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23575 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23575.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23574.html Notice - Submission for OMB Review; Comment Request 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23574 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23574.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23573.html Notice - Submission for OMB Review; Comment Request 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23573 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23573.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23572.html Notice - Submission for OMB Review; Comment Request 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23572 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23572.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23571.html Notice - Submission for OMB Review; Comment Request 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23571 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23571.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23570.html Notice - Submission for OMB Review; Comment Request 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23570 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23570.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23569.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Period of the New Options Floor Broker Management System Until November 3, 2014 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23569 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23569.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23568.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Increase Arbitrator Honoraria and Increase Certain Arbitration Fees and Surcharges 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23568 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23568.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23567.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 3110(e) (Responsibility of Member To Investigate Applicants for Registration) in the Consolidated FINRA Rulebook 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23567 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23567.pdf https://regulations.justia.com/regulations/fedreg/2014/10/03/2014-23566.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2014-10-03T00:00:00-07:00 2014-10-03T00:00:00-07:00 2014-23566 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-03/pdf/2014-23566.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23480.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 11.24 To Permit Members To Designate Their Retail Orders To Be Identified as Retail on the Exchange's Proprietary Data Feeds 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23480 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23480.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23479.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.24 To Permit Members To Designate Their Retail Orders To Be Identified as Retail on the Exchange's Proprietary Data Feeds 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23479 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23479.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23453.html Notice - Proposed Collection; Comment Request 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23453 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23453.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23452.html Notice - Proposed Collection; Comment Request 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23452 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23452.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23451.html Notice - Proposed Collection; Comment Request 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23451 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23451.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23450.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c) To Adopt a Supplemental Peg Order 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23450 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23450.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23449.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c) To Adopt a Supplemental Peg Order 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23449 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23449.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23448.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares Commodities Strategy ETF iShares of U.S. ETF Trust 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23448 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23448.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23447.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to 2014 ISDA Definitions 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23447 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23447.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23446.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Implementation of the Revised 2014 ISDA Credit Derivatives Definitions 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23446 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23446.pdf https://regulations.justia.com/regulations/fedreg/2014/10/02/2014-23445.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings 2014-10-02T00:00:00-07:00 2014-10-02T00:00:00-07:00 2014-23445 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-10-02/pdf/2014-23445.pdf