<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/11/28?registers=between Fri, 03 May 2024 08:30:47 -0700 Fri, 03 May 2024 08:30:47 -0700 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/2014/11/28?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rules 311 and 313 To Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement That a Member Corporation Be Created or Organized, and Maintain Its Principal Place of Business, in the United States; and Make Additional Related Amendments To Update Its Membership Rules https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28084.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28084.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28084 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28084.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rules 311-Equities and 313-Equities To Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement That a Member Corporation Be Created or Organized, and Maintain Its Principal Place of Business, in the United States; and Make Additional Related Amendments To Update Its Membership Rules https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28083.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28083.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28083 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28083.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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/2014/11/28/2014-28082.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28082.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28082 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28082.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change to Finance Procedures https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28080.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28080.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28080 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28080.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Related to ICC's Use of House Initial Margin as an Internal Liquidity Resource https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28079.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28079.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28079 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28079.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.1A To Adopt a Definition of “Professional Customer” on the Exchange https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28078.html https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28078.html Fri, 28 Nov 2014 00:00:00 -0800 2014-28078 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28078.pdf