Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2014?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2024-04-13T12:16:37-07:00 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/2014/12/31/2014-30592.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees of BATS Exchange, Inc. 2014-12-31T00:00:00-08:00 2014-12-31T00:00:00-08:00 2014-30592 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-31/pdf/2014-30592.pdf https://regulations.justia.com/regulations/fedreg/2014/12/31/2014-30591.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Addendum A (Fee Structure) With Respect to Fees Related to NSCC's Obligation Warehouse Service 2014-12-31T00:00:00-08:00 2014-12-31T00:00:00-08:00 2014-30591 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-31/pdf/2014-30591.pdf https://regulations.justia.com/regulations/fedreg/2014/12/31/2014-30590.html Notice - Submission for OMB Review; Comment Request 2014-12-31T00:00:00-08:00 2014-12-31T00:00:00-08:00 2014-30590 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-31/pdf/2014-30590.pdf https://regulations.justia.com/regulations/fedreg/2014/12/31/2014-30589.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.76A by Revising the Order Allocation Methodology for Certain Orders of Five Contracts or Fewer 2014-12-31T00:00:00-08:00 2014-12-31T00:00:00-08:00 2014-30589 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-31/pdf/2014-30589.pdf https://regulations.justia.com/regulations/fedreg/2014/12/31/2014-30588.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Fee Caps 2014-12-31T00:00:00-08:00 2014-12-31T00:00:00-08:00 2014-30588 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-31/pdf/2014-30588.pdf https://regulations.justia.com/regulations/fedreg/2014/12/31/2014-30587.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2015 2014-12-31T00:00:00-08:00 2014-12-31T00:00:00-08:00 2014-30587 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-31/pdf/2014-30587.pdf https://regulations.justia.com/regulations/fedreg/2014/12/31/2014-30586.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; BATS Y-Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Notice of Amendments No. 2 and Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, To Establish a New Market Data Product Called the BATS One Feed 2014-12-31T00:00:00-08:00 2014-12-31T00:00:00-08:00 2014-30586 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-31/pdf/2014-30586.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30445.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Regarding Trade Nullification and Price Adjustment 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30445 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30445.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30444.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the PIMCO Low Duration Investment Grade Corporate Bond Active Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30444 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30444.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30443.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Extended and Overnight Trading Sessions 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30443 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30443.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30442.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Trading Permit Application Fee 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30442 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30442.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30441.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules Regarding Trade Nullification and Price Adjustment 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30441 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30441.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30440.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF under NYSE Arca Equities Rule 8.600 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30440 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30440.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30439.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending Rule 13-Equities and Related Rules Governing Order Types and Modifiers, as modified by Partial Amendment No. 1 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30439 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30439.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30438.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Require That a Company Publicly Disclose the Denial of a Listing Application 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30438 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30438.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30437.html Notice - Automated Matching Systems Exchange, LLC; Notice of Filing of Amendment No. 1 to an Application for Limited Volume Exemption From Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30437 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30437.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30436.html Notice - Pacer Funds Trust, et al.; Notice of Application 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30436 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30436.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30435.html Notice - William E. Simon & Sons, LLC; New Vernon Advisors, Inc.; Notice of Application 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30435 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30435.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30226.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30226 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30226.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30225.html Notice - Royal Bank of Canada, et al.; Notice of Application and Temporary Order 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30225 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30225.pdf https://regulations.justia.com/regulations/fedreg/2014/12/30/2014-30136.html Proposed Rule - Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act 2014-12-30T00:00:00-08:00 2014-12-30T00:00:00-08:00 2014-30136 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30136.pdf https://regulations.justia.com/regulations/fedreg/2014/12/29/2014-30348.html Notice - In the Matter of American Heritage International Inc.; Order of Suspension of Trading 2014-12-29T00:00:00-08:00 2014-12-29T00:00:00-08:00 2014-30348 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-29/pdf/2014-30348.pdf https://regulations.justia.com/regulations/fedreg/2014/12/29/2014-30278.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2014-12-29T00:00:00-08:00 2014-12-29T00:00:00-08:00 2014-30278 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-29/pdf/2014-30278.pdf https://regulations.justia.com/regulations/fedreg/2014/12/29/2014-30277.html Notice - Crestview Advisors, L.L.C.; Notice of Application 2014-12-29T00:00:00-08:00 2014-12-29T00:00:00-08:00 2014-30277 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-29/pdf/2014-30277.pdf https://regulations.justia.com/regulations/fedreg/2014/12/29/2014-30276.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares Short Maturity Municipal Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i) of BATS Exchange, Inc. 2014-12-29T00:00:00-08:00 2014-12-29T00:00:00-08:00 2014-30276 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-29/pdf/2014-30276.pdf https://regulations.justia.com/regulations/fedreg/2014/12/29/2014-30275.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Ports 2014-12-29T00:00:00-08:00 2014-12-29T00:00:00-08:00 2014-30275 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-29/pdf/2014-30275.pdf https://regulations.justia.com/regulations/fedreg/2014/12/29/2014-30274.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Convert Direct Edge, Inc., the Parent Company of EDGX Exchange, Inc., From a Delaware Corporation to a Delaware Limited Liability Company 2014-12-29T00:00:00-08:00 2014-12-29T00:00:00-08:00 2014-30274 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-29/pdf/2014-30274.pdf https://regulations.justia.com/regulations/fedreg/2014/12/29/2014-30273.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Convert Direct Edge, Inc., the Parent Company of EDGA Exchange, Inc., From a Delaware Corporation to a Delaware Limited Liability Company 2014-12-29T00:00:00-08:00 2014-12-29T00:00:00-08:00 2014-30273 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-29/pdf/2014-30273.pdf https://regulations.justia.com/regulations/fedreg/2014/12/29/2014-30272.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program 2014-12-29T00:00:00-08:00 2014-12-29T00:00:00-08:00 2014-30272 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-29/pdf/2014-30272.pdf https://regulations.justia.com/regulations/fedreg/2014/12/29/2014-30265.html Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2014-12-29T00:00:00-08:00 2014-12-29T00:00:00-08:00 2014-30265 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-29/pdf/2014-30265.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30296.html Notice - In the Matter of Treaty Energy Corporation; Order of Suspension of Trading 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30296 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30296.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30130.html Notice - Forum Funds II and CVR Portfolio Funds LLC; Notice of Application 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30130 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30130.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30129.html Notice - Forum Funds II and Acuitas Investments, LLC; Notice of Application 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30129 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30129.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30128.html Notice - SSgA Funds Management, Inc., et al.; Notice of Application 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30128 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30128.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30127.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Rule 20.6 of BATS Exchange, Inc. 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30127 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30127.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30126.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 342 To Remove the Three Years' Experience Requirement for Supervisory Personnel and To Add Supplementary Material to Rule 3110 Stating That Supervisors Must Reasonably Discharge Their Supervisory Duties and Obligations 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30126 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30126.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30125.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 342-Equities To Remove the Three Years' Experience Requirement for Supervisory Personnel and To Add Supplementary Material to Rule 3110-Equities Stating That Supervisors Must Reasonably Discharge Their Supervisory Duties and Obligations 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30125 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30125.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30124.html Notice - 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. 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30124 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30124.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30123.html Notice - 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. 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30123 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30123.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30122.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30122 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30122.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30121.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt New Rule 7300 To Allow the Exchange To Trade Preferenced Orders 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30121 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30121.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30120.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Approval of Proposed Rule Change To Revise the ICC Risk Management Framework 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30120 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30120.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30119.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9(a)(2) and 11.18(e) of BATS Exchange, Inc. 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30119 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30119.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30118.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9(a)(2) and 11.18(e) of BATS Y-Exchange, Inc. 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30118 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30118.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-30105.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the Sit Rising Rate Fund Under NYSE Arca Equities Rule 8.200 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-30105 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-30105.pdf https://regulations.justia.com/regulations/fedreg/2014/12/24/2014-29256.html Rule - Credit Risk Retention 2014-12-24T00:00:00-08:00 2014-12-24T00:00:00-08:00 2014-29256 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-24/pdf/2014-29256.pdf https://regulations.justia.com/regulations/fedreg/2014/12/19/2014-29699.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Credit Option Margin Pilot Program Through January 15, 2016 2014-12-19T00:00:00-08:00 2014-12-19T00:00:00-08:00 2014-29699 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-19/pdf/2014-29699.pdf https://regulations.justia.com/regulations/fedreg/2014/12/19/2014-29698.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Amend Rule 7018 to establish Fees and Rebates in Connection with BX's Retail Price Improvement (“RPI”) Program 2014-12-19T00:00:00-08:00 2014-12-19T00:00:00-08:00 2014-29698 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-19/pdf/2014-29698.pdf https://regulations.justia.com/regulations/fedreg/2014/12/19/2014-29697.html Notice - Garrison Capital, Inc., et al.; Notice of Application 2014-12-19T00:00:00-08:00 2014-12-19T00:00:00-08:00 2014-29697 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-19/pdf/2014-29697.pdf https://regulations.justia.com/regulations/fedreg/2014/12/18/2014-29729.html Notice - Geo Finance Corporation; Order of Suspension of Trading 2014-12-18T00:00:00-08:00 2014-12-18T00:00:00-08:00 2014-29729 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-18/pdf/2014-29729.pdf https://regulations.justia.com/regulations/fedreg/2014/12/18/2014-29620.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules Regarding Trade Nullification and Price Adjustment 2014-12-18T00:00:00-08:00 2014-12-18T00:00:00-08:00 2014-29620 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-18/pdf/2014-29620.pdf https://regulations.justia.com/regulations/fedreg/2014/12/18/2014-29619.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2014-12-18T00:00:00-08:00 2014-12-18T00:00:00-08:00 2014-29619 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-18/pdf/2014-29619.pdf https://regulations.justia.com/regulations/fedreg/2014/12/18/2014-29618.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62(k) To Disallow Market Orders From Being Eligible for Designation as An Immediate-or-Cancel Order 2014-12-18T00:00:00-08:00 2014-12-18T00:00:00-08:00 2014-29618 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-18/pdf/2014-29618.pdf https://regulations.justia.com/regulations/fedreg/2014/12/18/2014-29617.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(k) To Disallow Market Orders from Being Eligible for Designation as an Immediate-or-Cancel Order 2014-12-18T00:00:00-08:00 2014-12-18T00:00:00-08:00 2014-29617 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-18/pdf/2014-29617.pdf https://regulations.justia.com/regulations/fedreg/2014/12/18/2014-29616.html Notice - Self-Regulatory Organizations; BOX Options Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend, Through June 30, 2015, the Pilot Program That Permits Certain Classes To Be Quoted in Penny Increments (“Penny Pilot Program”) 2014-12-18T00:00:00-08:00 2014-12-18T00:00:00-08:00 2014-29616 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-18/pdf/2014-29616.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29621.html Notice - 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 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29621 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29621.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29516.html Notice - Submission for OMB Review; Comment Request 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29516 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29516.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29515.html Notice - Submission for OMB Review; Comment Request 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29515 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29515.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29514.html Notice - Submission for OMB Review; Comment Request 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29514 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29514.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29513.html Notice - Submission for OMB Review; Comment Request 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29513 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29513.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29512.html Notice - Submission for OMB Review; Comment Request 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29512 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29512.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29511.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7021 Fees 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29511 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29511.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29501.html Notice - ACAP Strategic Fund and SilverBay Capital Management LLC; Notice of Application 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29501 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29501.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29500.html Notice - Morgan Creek Global Equity Long/Short Institutional Fund, et al.; Notice of Application 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29500 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29500.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29499.html Notice - 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 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29499 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29499.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29498.html Notice - 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 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29498 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29498.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29497.html Notice - 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 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29497 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29497.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29496.html Notice - 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 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29496 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29496.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29495.html Notice - 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 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29495 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29495.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29494.html Notice - 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 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29494 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29494.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29493.html Notice - 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 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29493 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29493.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29492.html Notice - 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. 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29492 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29492.pdf https://regulations.justia.com/regulations/fedreg/2014/12/17/2014-29491.html Notice - 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. 2014-12-17T00:00:00-08:00 2014-12-17T00:00:00-08:00 2014-29491 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-17/pdf/2014-29491.pdf https://regulations.justia.com/regulations/fedreg/2014/12/16/2014-29502.html Notice - Sunshine Act Meeting 2014-12-16T00:00:00-08:00 2014-12-16T00:00:00-08:00 2014-29502 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-16/pdf/2014-29502.pdf https://regulations.justia.com/regulations/fedreg/2014/12/16/2014-29366.html Notice - Submission for OMB Review; Comment Request 2014-12-16T00:00:00-08:00 2014-12-16T00:00:00-08:00 2014-29366 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-16/pdf/2014-29366.pdf https://regulations.justia.com/regulations/fedreg/2014/12/16/2014-29365.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Guggenheim Enhanced Short Duration ETF 2014-12-16T00:00:00-08:00 2014-12-16T00:00:00-08:00 2014-29365 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-16/pdf/2014-29365.pdf https://regulations.justia.com/regulations/fedreg/2014/12/16/2014-29364.html Notice - 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. 2014-12-16T00:00:00-08:00 2014-12-16T00:00:00-08:00 2014-29364 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-16/pdf/2014-29364.pdf https://regulations.justia.com/regulations/fedreg/2014/12/16/2014-29363.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Corrections to ISE Rules 2014-12-16T00:00:00-08:00 2014-12-16T00:00:00-08:00 2014-29363 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-16/pdf/2014-29363.pdf https://regulations.justia.com/regulations/fedreg/2014/12/16/2014-29362.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify an Optional Subscriber Fee and Tiered Distribution Fee for “Enhanced” Data Displays (the “Enhanced Display Solution Fee”) 2014-12-16T00:00:00-08:00 2014-12-16T00:00:00-08:00 2014-29362 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-16/pdf/2014-29362.pdf https://regulations.justia.com/regulations/fedreg/2014/12/16/2014-29361.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Government Securities Division Rulebook and the Mortgage Backed Securities Clearing Rules In Order To Move the Time of Novation With Respect to Certain Trades, Include Rules To Reflect Existing Processes, and Clarify Certain Rules To Reflect Current Practices 2014-12-16T00:00:00-08:00 2014-12-16T00:00:00-08:00 2014-29361 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-16/pdf/2014-29361.pdf https://regulations.justia.com/regulations/fedreg/2014/12/16/2014-29360.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change in Connection With the Modifications To Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions 2014-12-16T00:00:00-08:00 2014-12-16T00:00:00-08:00 2014-29360 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-16/pdf/2014-29360.pdf https://regulations.justia.com/regulations/fedreg/2014/12/15/2014-29244.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 1.5 and 11.3 of EDGA Exchange, Inc. 2014-12-15T00:00:00-08:00 2014-12-15T00:00:00-08:00 2014-29244 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-15/pdf/2014-29244.pdf https://regulations.justia.com/regulations/fedreg/2014/12/15/2014-29243.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 1.5 and 11.3 of EDGX Exchange, Inc. 2014-12-15T00:00:00-08:00 2014-12-15T00:00:00-08:00 2014-29243 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-15/pdf/2014-29243.pdf https://regulations.justia.com/regulations/fedreg/2014/12/15/2014-29242.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Amend the Application of Routing Surcharge Fees 2014-12-15T00:00:00-08:00 2014-12-15T00:00:00-08:00 2014-29242 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-15/pdf/2014-29242.pdf https://regulations.justia.com/regulations/fedreg/2014/12/15/2014-29241.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule To Amend the Application of Routing Fees Effective December 1, 2014 2014-12-15T00:00:00-08:00 2014-12-15T00:00:00-08:00 2014-29241 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-15/pdf/2014-29241.pdf https://regulations.justia.com/regulations/fedreg/2014/12/15/2014-29240.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7049 Fees 2014-12-15T00:00:00-08:00 2014-12-15T00:00:00-08:00 2014-29240 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-15/pdf/2014-29240.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29182.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt New Exchange Rule 1081, Solicitation Mechanism, To Introduce a New Electronic Solicitation Mechanism 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29182 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29182.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29181.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Approval of Proposed Rule Change To Revise ICC End-of-Day Price Discovery Policies and Procedures 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29181 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29181.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29180.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Sales Value Fee 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29180 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29180.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29179.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Rules of the Government Securities Division and the Mortgage-Backed Securities Division on Insolvency and Ceasing To Act 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29179 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29179.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29178.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Position Limits and Position Accountability of the USD Malaysian Crude Palm Oil Calendar (Cleared Only) Contracts 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29178 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29178.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29110.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Provide That The Options Clearing Corporation's President Will Be Its Chief Operating Officer, and That the President Will Not Be a Management Director 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29110 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29110.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29109.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Directed Market Makers 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29109 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29109.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29108.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc. 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29108 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29108.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29107.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc. 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29107 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29107.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29106.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.9 of EDGX Exchange, Inc. Related to Communication and Routing Service Known as ConnectEdge 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29106 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29106.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29105.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Amend NSCC's Rules and Procedures in Connection with the Discontinuance of the Analytic Reporting Service 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29105 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29105.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29104.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 To Exchange Rule 6.72 in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2015 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29104 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29104.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29103.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2015 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29103 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29103.pdf https://regulations.justia.com/regulations/fedreg/2014/12/12/2014-29102.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Changes to CME Rule 814 and CME Rule 901 2014-12-12T00:00:00-08:00 2014-12-12T00:00:00-08:00 2014-29102 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-12/pdf/2014-29102.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29183.html Notice - Sunshine Act Meeting 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29183 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29183.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29023.html 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 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29023 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29023.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29013.html 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 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29013 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29013.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29012.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29012 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29012.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29011.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29011 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29011.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29009.html 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. 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29009 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29009.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29008.html 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. 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29008 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29008.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29007.html 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. 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29007 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29007.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29006.html 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. 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29006 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29006.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29005.html 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 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29005 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29005.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29004.html 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 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29004 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29004.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29003.html 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 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29003 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29003.pdf https://regulations.justia.com/regulations/fedreg/2014/12/11/2014-29002.html 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 2014-12-11T00:00:00-08:00 2014-12-11T00:00:00-08:00 2014-29002 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-11/pdf/2014-29002.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28909.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.1(c)(5) of EDGX Exchange, Inc. To Harmonize Its Restrictions on Market Makers in UTP Derivative Securities With NYSE Arca, Inc. and Nasdaq Stock Market LLC 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28909 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28909.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28908.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.1(c)(5) of EDGA Exchange, Inc. To Harmonize Its Restrictions on Market Makers in UTP Derivative Securities With NYSE Arca, Inc. and Nasdaq Stock Market LLC 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28908 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28908.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28907.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.1 of BATS Exchange, Inc. 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28907 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28907.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28906.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.1 of BATS Y-Exchange, Inc. 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28906 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28906.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28905.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.11(j)(5) of BATS Exchange, Inc., To Remove the Restriction Prohibiting Market Makers in UTP Derivative Securities From Acting or Registering as a Market Maker in Any Reference Asset of That UTP Derivative Security or Any Derivative Instrument Based on Such Reference Asset 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28905 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28905.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28904.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1(c)(5) of BATS Y-Exchange, Inc., To Remove the Restriction Prohibiting Market Makers in UTP Derivative Securities From Acting or Registering as a Market Maker in Any Reference Asset of That UTP Derivative Security or Any Derivative Instrument Based on Such Reference Asset 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28904 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28904.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28880.html Notice - Dreyfus ETF Trust, et al.; Notice of Application 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28880 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28880.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28879.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of Hull Tactical US ETF Under NYSE Arca Equities Rule 8.600 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28879 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28879.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28878.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, in Connection With the Proposed Termination of the Amended and Restated Trust Agreement, Dated as of November 13, 2013 and Amended on June 2, 2014 By and Among NYSE Holdings LLC, a Delaware Limited Liability Company, NYSE Group, Inc., a Delaware Corporation, Wilmington Trust Company, as Delaware Trustee, and Each of Jacques de Larosière de Champfeu, Alan Trager and John Shepard Reed, as Trustees 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28878 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28878.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28877.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Proposed Rule Change Relating to the NASDAQ Opening and Halt Cross 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28877 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28877.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28876.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28876 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28876.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28875.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change To Provide for the Clearance of Additional Sovereign Contracts 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28875 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28875.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28874.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Modify the Opening Process 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28874 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28874.pdf https://regulations.justia.com/regulations/fedreg/2014/12/10/2014-28873.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Clearing Rules of the Mortgage-Backed Securities Division To Establish a Membership Category and Minimum Financial Requirements for Insured Credit Unions 2014-12-10T00:00:00-08:00 2014-12-10T00:00:00-08:00 2014-28873 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-10/pdf/2014-28873.pdf https://regulations.justia.com/regulations/fedreg/2014/12/09/2014-28872.html Notice - Sunshine Act Meeting 2014-12-09T00:00:00-08:00 2014-12-09T00:00:00-08:00 2014-28872 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-09/pdf/2014-28872.pdf https://regulations.justia.com/regulations/fedreg/2014/12/09/2014-28773.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership 2014-12-09T00:00:00-08:00 2014-12-09T00:00:00-08:00 2014-28773 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-09/pdf/2014-28773.pdf https://regulations.justia.com/regulations/fedreg/2014/12/09/2014-28772.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to CDS Pricing Policy 2014-12-09T00:00:00-08:00 2014-12-09T00:00:00-08:00 2014-28772 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-09/pdf/2014-28772.pdf https://regulations.justia.com/regulations/fedreg/2014/12/09/2014-28771.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of Proposed Rule Change Relating To Listing and Trading of Shares of the PIMCO Income Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 2014-12-09T00:00:00-08:00 2014-12-09T00:00:00-08:00 2014-28771 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-09/pdf/2014-28771.pdf https://regulations.justia.com/regulations/fedreg/2014/12/09/2014-28770.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Application of Excess Defaulting Clearing Member Assets in Crossover Default Scenarios and the Harmonization of Defaulted Base Clearing Member Collateral Definitions 2014-12-09T00:00:00-08:00 2014-12-09T00:00:00-08:00 2014-28770 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-09/pdf/2014-28770.pdf https://regulations.justia.com/regulations/fedreg/2014/12/09/2014-28769.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to CME Rules 818, 8G01 and 8H01 2014-12-09T00:00:00-08:00 2014-12-09T00:00:00-08:00 2014-28769 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-09/pdf/2014-28769.pdf https://regulations.justia.com/regulations/fedreg/2014/12/09/2014-28768.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Aligning Performance Bond and Guaranty Fund Collateral Acceptance With CFTC Regulation 39.33 Requirements 2014-12-09T00:00:00-08:00 2014-12-09T00:00:00-08:00 2014-28768 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-09/pdf/2014-28768.pdf https://regulations.justia.com/regulations/fedreg/2014/12/09/2014-28767.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice Concerning the Implementation of a Committed Master Repurchase Agreement Program as Part of OCC's Overall Liquidity Plan 2014-12-09T00:00:00-08:00 2014-12-09T00:00:00-08:00 2014-28767 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-09/pdf/2014-28767.pdf https://regulations.justia.com/regulations/fedreg/2014/12/09/2014-28766.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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 2014-12-09T00:00:00-08:00 2014-12-09T00:00:00-08:00 2014-28766 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-09/pdf/2014-28766.pdf 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 https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28584.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Amendment To Conform Rule Text 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28584 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28584.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28551.html Notice - Submission for OMB Review; Comment Request 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28551 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28551.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28550.html Notice - Submission for OMB Review; Comment Request 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28550 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28550.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28549.html Notice - Submission for OMB Review; Comment Request 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28549 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28549.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28548.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB's Electronic Municipal Market Access (EMMA) System To Add Disclosures Related to Municipal Asset-Backed Securities 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28548 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28548.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28547.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating To Listing and Trading of Shares of Eight PIMCO Exchange-Traded Funds 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28547 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28547.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28546.html Notice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend OPRA's Definition of the term “Nonprofessional” 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28546 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28546.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28545.html Notice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Sections 5.4 and 7.1 of the OPRA Plan 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28545 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28545.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28544.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Withdrawal of an Advance Notice Concerning Enhancements to the Risk Management Framework Applied to the Clearance of Confirmed Trades Executed in Extended and Overnight Trading Sessions 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28544 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28544.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28543.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rules G-1, on Separately Identifiable Department or Division of a Bank; G-2, on Standards of Professional Qualification; G-3, on Professional Qualification Requirements; and D-13, on Municipal Advisory Activities 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28543 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28543.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-28534.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7001(c) 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-28534 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-28534.pdf https://regulations.justia.com/regulations/fedreg/2014/12/05/2014-27767.html Rule - Regulation Systems Compliance and Integrity 2014-12-05T00:00:00-08:00 2014-12-05T00:00:00-08:00 2014-27767 Rule http://www.gpo.gov/fdsys/pkg/FR-2014-12-05/pdf/2014-27767.pdf https://regulations.justia.com/regulations/fedreg/2014/12/04/2014-28476.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 13 and Related Rules Governing Order Types and Modifiers To Clarify the Nature of Order Types 2014-12-04T00:00:00-08:00 2014-12-04T00:00:00-08:00 2014-28476 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-04/pdf/2014-28476.pdf https://regulations.justia.com/regulations/fedreg/2014/12/04/2014-28475.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt Extended Trading Hours for SPX and VIX 2014-12-04T00:00:00-08:00 2014-12-04T00:00:00-08:00 2014-28475 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-04/pdf/2014-28475.pdf https://regulations.justia.com/regulations/fedreg/2014/12/04/2014-28474.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Approval to Proposed Rule Change To Establish the Retail Price Improvement Program on a Pilot Basis Expiring Twelve Months From the Date of Implementation 2014-12-04T00:00:00-08:00 2014-12-04T00:00:00-08:00 2014-28474 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-04/pdf/2014-28474.pdf https://regulations.justia.com/regulations/fedreg/2014/12/04/2014-28473.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Process for Determining the Benchmark Values Used by the ETFS Platinum Trust, ETFS Palladium Trust, ETFS Precious Metals Trust and ETFS White Metals Basket Trust 2014-12-04T00:00:00-08:00 2014-12-04T00:00:00-08:00 2014-28473 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-04/pdf/2014-28473.pdf https://regulations.justia.com/regulations/fedreg/2014/12/03/2014-28532.html Notice - Sunshine Act Meeting 2014-12-03T00:00:00-08:00 2014-12-03T00:00:00-08:00 2014-28532 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-03/pdf/2014-28532.pdf https://regulations.justia.com/regulations/fedreg/2014/12/03/2014-28495.html Notice - SEC Advisory Committee on Small and Emerging Companies 2014-12-03T00:00:00-08:00 2014-12-03T00:00:00-08:00 2014-28495 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-03/pdf/2014-28495.pdf https://regulations.justia.com/regulations/fedreg/2014/12/03/2014-28426.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPX End-of-Month Closing Procedures 2014-12-03T00:00:00-08:00 2014-12-03T00:00:00-08:00 2014-28426 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-03/pdf/2014-28426.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28353.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change in Order To Permit OCC To Adjust the Size of Its Clearing Fund on an Intra-Month Basis 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28353 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28353.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28322.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clearing Rules Relating to CASS Requirements 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28322 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28322.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28321.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28321 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28321.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28320.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28320 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28320.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28319.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Active SQF Port Fees 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28319 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28319.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28318.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28318 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28318.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28317.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Formalize the ICC Operational Risk Management Framework 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28317 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28317.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28316.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Adopt NASDAQ Rule 7015(i) To Offer the New IPO Workstation 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28316 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28316.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28315.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Rules of the Government Securities Division and the Mortgage-Backed Securities Division Regarding the Default of Fixed Income Clearing Corporation 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28315 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28315.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28314.html Notice - Banc of America Mortgage Securities, Inc., et al.; Notice of Application and Temporary Order 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28314 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28314.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28313.html Notice - ETF Securities Advisors LLC, et al.; Notice of Application 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28313 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28313.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28312.html Notice - Proposed Collection; Comment Request 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28312 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28312.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28311.html Notice - Submission for OMB Review; Comment Request 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28311 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28311.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28310.html Notice - Submission for OMB Review; Comment Request 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28310 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28310.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28309.html Notice - Submission for OMB Review; Comment Request 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28309 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28309.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28308.html Notice - Submission for OMB Review; Comment Request 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28308 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28308.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28307.html Notice - Proposed Collection; Comment Request 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28307 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28307.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28306.html Notice - Proposed Collection; Comment Request 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28306 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28306.pdf https://regulations.justia.com/regulations/fedreg/2014/12/02/2014-28305.html Notice - Proposed Collection; Comment Request 2014-12-02T00:00:00-08:00 2014-12-02T00:00:00-08:00 2014-28305 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-02/pdf/2014-28305.pdf https://regulations.justia.com/regulations/fedreg/2014/12/01/2014-28175.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2014-12-01T00:00:00-08:00 2014-12-01T00:00:00-08:00 2014-28175 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-01/pdf/2014-28175.pdf https://regulations.justia.com/regulations/fedreg/2014/12/01/2014-28174.html Notice - MUFG Union Bank, N.A.; Notice of Application 2014-12-01T00:00:00-08:00 2014-12-01T00:00:00-08:00 2014-28174 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-01/pdf/2014-28174.pdf https://regulations.justia.com/regulations/fedreg/2014/12/01/2014-28173.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24 of BATS Exchange, Inc. 2014-12-01T00:00:00-08:00 2014-12-01T00:00:00-08:00 2014-28173 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-01/pdf/2014-28173.pdf https://regulations.justia.com/regulations/fedreg/2014/12/01/2014-28172.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates in Penny Pilot Options 2014-12-01T00:00:00-08:00 2014-12-01T00:00:00-08:00 2014-28172 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-12-01/pdf/2014-28172.pdf https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28084.html 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 2014-11-28T00:00:00-08:00 2014-11-28T00:00:00-08:00 2014-28084 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28084.pdf https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28083.html 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 2014-11-28T00:00:00-08:00 2014-11-28T00:00:00-08:00 2014-28083 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28083.pdf https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28082.html 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 2014-11-28T00:00:00-08:00 2014-11-28T00:00:00-08:00 2014-28082 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28082.pdf https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28080.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change to Finance Procedures 2014-11-28T00:00:00-08:00 2014-11-28T00:00:00-08:00 2014-28080 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28080.pdf https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28079.html 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 2014-11-28T00:00:00-08:00 2014-11-28T00:00:00-08:00 2014-28079 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28079.pdf https://regulations.justia.com/regulations/fedreg/2014/11/28/2014-28078.html 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 2014-11-28T00:00:00-08:00 2014-11-28T00:00:00-08:00 2014-28078 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-28/pdf/2014-28078.pdf https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-28081.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 2014-11-26T00:00:00-08:00 2014-11-26T00:00:00-08:00 2014-28081 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-28081.pdf https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-28026.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Interest Reports 2014-11-26T00:00:00-08:00 2014-11-26T00:00:00-08:00 2014-28026 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-28026.pdf https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27982.html Notice - Lattice Strategies, LLC, et al.; Notice of Application 2014-11-26T00:00:00-08:00 2014-11-26T00:00:00-08:00 2014-27982 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27982.pdf https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27981.html Notice - Advanced Series Trust, et al.; Notice of Application 2014-11-26T00:00:00-08:00 2014-11-26T00:00:00-08:00 2014-27981 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27981.pdf https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27980.html Notice - BlackRock, Inc., et al.; Notice of Application 2014-11-26T00:00:00-08:00 2014-11-26T00:00:00-08:00 2014-27980 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27980.pdf https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27979.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Rule 7018(a) With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share 2014-11-26T00:00:00-08:00 2014-11-26T00:00:00-08:00 2014-27979 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27979.pdf https://regulations.justia.com/regulations/fedreg/2014/11/26/2014-27978.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Exchange's Pricing Schedule Under Section VIII With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share 2014-11-26T00:00:00-08:00 2014-11-26T00:00:00-08:00 2014-27978 Notice http://www.gpo.gov/fdsys/pkg/FR-2014-11-26/pdf/2014-27978.pdf