Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/12/08?limit=200&registers=between&mode=atom 2024-11-21T13:32:49-08:00 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/2014/12/08/2014-28682.html Proposed Rule - Elkhorn Investments, LLC and Elkhorn ETF Trust; Notice of Application 2014-12-08T00:00:00-08:00 2014-12-08T00:00:00-08:00 2014-28682 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28682.pdf https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28648.html Proposed Rule - Alternative Strategies Fund and Ladenburg Thalmann Asset Management, Inc.; Notice of Application 2014-12-08T00:00:00-08:00 2014-12-08T00:00:00-08:00 2014-28648 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28648.pdf https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28647.html Proposed Rule - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Commentary .03 to Exchange Rule 6.86 2014-12-08T00:00:00-08:00 2014-12-08T00:00:00-08:00 2014-28647 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28647.pdf https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28646.html Proposed Rule - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality for Registered Market Makers on the PHLX Options Market 2014-12-08T00:00:00-08:00 2014-12-08T00:00:00-08:00 2014-28646 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28646.pdf https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28645.html Proposed Rule - Self-Regulatory Organizations; NYSE MKT LLC.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Rule 970.1NY 2014-12-08T00:00:00-08:00 2014-12-08T00:00:00-08:00 2014-28645 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28645.pdf https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28644.html Proposed Rule - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the AdvisorShares Pacific Asset Enhanced Floating Rate ETF Under NYSE Arca Equities Rule 8.600 2014-12-08T00:00:00-08:00 2014-12-08T00:00:00-08:00 2014-28644 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28644.pdf https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28643.html Proposed Rule - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading the following Series of IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600: IQ Wilshire Alternative Strategies ETF 2014-12-08T00:00:00-08:00 2014-12-08T00:00:00-08:00 2014-28643 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28643.pdf https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28642.html Proposed Rule - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change Relating to Bilateral Block and Bilateral EFP Reporting Guidance 2014-12-08T00:00:00-08:00 2014-12-08T00:00:00-08:00 2014-28642 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28642.pdf https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28641.html Proposed Rule - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook 2014-12-08T00:00:00-08:00 2014-12-08T00:00:00-08:00 2014-28641 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-08/pdf/2014-28641.pdf