<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014/12/11?registers=between Sat, 04 May 2024 04:58:23 -0700 Sat, 04 May 2024 04:58:23 -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/2014/12/11?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29183.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29183.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29183 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29183.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions With Sophisticated Municipal Market Professionals (“SMMP”), and Rule D-15, on the Definition of SMMP https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29023.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29023.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29023 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29023.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend TRACE Rules To Require Members To Identify Transactions With Non-Member Affiliates and To Change How FINRA Disseminates a Subset of Such Transactions https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29013.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29013.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29013 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29013.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29012.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29012.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29012 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29012.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29011.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29011.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29011 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29011.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Reference to the EdgeRisk Gateway in Rule 13.10 of EDGX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29009.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29009.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29009 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29009.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the EdgeBook Cloud Service on EDGX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29008.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29008.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29008 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29008.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Reference to the EdgeRisk Gateway in Rule 13.10 of EDGA Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29007.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29007.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29007 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29007.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the EdgeBook Cloud Service on EDGA Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29006.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29006.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29006 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29006.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; National Securities Clearing Corporation; The Depository Trust Company; Notice of Filing of Advance Notices, as Amended, To Amend and Restate the Third Amended and Restated Shareholders Agreement, Dated as of December 7, 2005 https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29005.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29005.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29005 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29005.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adjust the Fees and Credits for Complex Orders Executed Against Orders on the BOX Book https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29004.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29004.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29004 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29004.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to Its OTC Credit Default Swap Clearing Offering https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29003.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29003.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29003 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29003.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Modifications To Back Testing Procedures in Order To Enhance Monitoring of Margin Coverage and Model Risk Exposure https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29002.html https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29002.html Thu, 11 Dec 2014 00:00:00 -0800 2014-29002 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29002.pdf