Securities and Exchange Commission December 17, 2014 – Federal Register Recent Federal Regulation Documents

Results 1 - 18 of 18
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretive Material to Rule 7150 (Price Improvement Period “PIP”) and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period “COPIP”) To Extend the Pilot Period That Permit the Exchange To Have No Minimum Size Requirement for Orders Entered Into the PIP and COPIP Until July 18, 2015
Document Number: 2014-29621
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29621.html
Submission for OMB Review; Comment Request
Document Number: 2014-29516
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29516.html
Submission for OMB Review; Comment Request
Document Number: 2014-29515
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29515.html
Submission for OMB Review; Comment Request
Document Number: 2014-29514
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29514.html
Submission for OMB Review; Comment Request
Document Number: 2014-29513
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29513.html
Submission for OMB Review; Comment Request
Document Number: 2014-29512
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29512.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7021 Fees
Document Number: 2014-29511
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29511.html
ACAP Strategic Fund and SilverBay Capital Management LLC; Notice of Application
Document Number: 2014-29501
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order to permit certain registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based distribution fees and early withdrawal charges (``EWCs''). Applicants: ACAP Strategic Fund (``Initial Fund'') and SilverBay Capital Management LLC (``Adviser'').
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29501.html
Morgan Creek Global Equity Long/Short Institutional Fund, et al.; Notice of Application
Document Number: 2014-29500
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order to permit certain registered closed-end management investment companies to issue multiple classes of shares (``Classes'') with varying sales loads and to impose asset-based service and/or distribution fees and contingent deferred sales loads (``CDSCs''). Applicants: Morgan Creek Global Equity Long/Short Institutional Fund (the ``Fund''), Morgan Creek Capital Management, LLC (the ``Adviser'') and Town Hall Capital, LLC (the ``Distributor'').
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29500.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain NASDAQ Options Market Professional User and Enterprise License Fees
Document Number: 2014-29499
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29499.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Continued Listing Requirements in Relation to the Late Filing of a Company's Annual Report With the Securities and Exchange Commission as set Forth in Section 802.01E of the Exchange's Listed Company Manual
Document Number: 2014-29498
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29498.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify a Level 2 Professional Subscriber Fee
Document Number: 2014-29497
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29497.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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
Document Number: 2014-29496
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29496.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of 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
Document Number: 2014-29495
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29495.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Establish an Access Fee for the NYSE Best Quote & Trades Data Feed, Operative on December 1, 2014
Document Number: 2014-29494
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29494.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Applicability of Certain Fees and Credits Provided Under the Fee Schedule
Document Number: 2014-29493
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29493.html
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.
Document Number: 2014-29492
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29492.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Document Number: 2014-29491
Type: Notice
Date: 2014-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29491.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.