Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/11/03?limit=200&registers=between&mode=atom 2021-09-19T22:33:56-07:00 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/2014/11/03/2014-26013.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16(f)(v) To Provide That Proactive if Locked Modifiers Will Be Ignored for Short Sale Orders During a Short Sale Period 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26013 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26013.pdf https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26012.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policy 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26012 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26012.pdf https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26011.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise ICC End-of-Day Price Discovery Policies and Procedures 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26011 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26011.pdf https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26010.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Functionality of Public Automated Routing System 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26010 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26010.pdf https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26009.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Permit the Executive Chairman, the President or a Delegate of Such Officer To Approve Requests by a Hedge Clearing Member To Become a Market Loan Clearing Member 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26009 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26009.pdf https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26008.html Notice - Joint Industry Plan; Order Approving 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 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26008 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26008.pdf https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26007.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26007 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26007.pdf https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26006.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Changes to Settlement Procedures Regarding Seven CME Cleared OTC FX Spot, Forward and Swap Contracts 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26006 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26006.pdf https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26005.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Risk Management Framework 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26005 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26005.pdf https://regulations.justia.com/regulations/fedreg/2014/11/03/2014-26004.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change in Connection With the Modifications To Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions 2014-11-03T00:00:00-08:00 2014-11-03T00:00:00-08:00 2014-26004 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-03/pdf/2014-26004.pdf