Securities and Exchange Commission 2014 – Federal Register Recent Federal Regulation Documents

Order Granting Applications by NASDAQ OMX BX, Inc. and the NASDAQ Stock Market LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference

Document Number: 2014-17638

Type: Notice

Date: 2014-07-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/29/2014-17638.html

Sunshine Act Meeting

Document Number: 2014-17810

Type: Notice

Date: 2014-07-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17810.html

TrimTabs Asset Management, LLC, et al.; Notice of Application

Document Number: 2014-17655

Type: Notice

Date: 2014-07-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17655.html

Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright International Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M

Document Number: 2014-17641

Type: Notice

Date: 2014-07-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17641.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change Relating to Proposed Changes To Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of “Third-Party Data”

Document Number: 2014-17640

Type: Notice

Date: 2014-07-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17640.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of InfraCap Active MLP ETF Under NYSE Arca Equities Rule 8.600

Document Number: 2014-17639

Type: Notice

Date: 2014-07-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17639.html

Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust; Notice of Application

Document Number: 2014-17617

Type: Notice

Date: 2014-07-28

Agency: Securities and Exchange Commission, Agencies and Commissions

Summary of Application: Applicants request an order that permits: (a) Actively-managed series of certain open-end management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares.

https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17617.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information

Document Number: 2014-17614

Type: Notice

Date: 2014-07-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/28/2014-17614.html

Proposed Collection; Comment Request

Document Number: 2014-17516

Type: Notice

Date: 2014-07-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17516.html

Proposed Collection; Comment Request

Document Number: 2014-17515

Type: Notice

Date: 2014-07-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17515.html

Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, and 11.18 of BATS Y-Exchange, Inc.

Document Number: 2014-17514

Type: Notice

Date: 2014-07-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17514.html

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, 11.18, 21.1 and 21.7 of BATS Exchange, Inc.

Document Number: 2014-17513

Type: Notice

Date: 2014-07-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/25/2014-17513.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating To Listing and Trading Shares of First Trust Long/Short Equity ETF Under NYSE Arca Equities Rule 8.600

Document Number: 2014-17401

Type: Notice

Date: 2014-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17401.html

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules Relating to Auditing Standard No. 18, Related Parties, Amendments to Certain PCAOB Auditing Standards Regarding Significant Unusual Transactions, and Other Amendments to PCAOB Auditing Standards

Document Number: 2014-17400

Type: Notice

Date: 2014-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17400.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Lead Market Maker Rights Fees

Document Number: 2014-17399

Type: Notice

Date: 2014-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17399.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the ARK Innovation ETF, ARK Genomic Revolution ETF, ARK Industrial Innovation ETF, and ARK Web x.0 ETF Under NYSE Arca Equities Rule 8.600

Document Number: 2014-17398

Type: Notice

Date: 2014-07-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/24/2014-17398.html

Proposed Collection; Comment Request

Document Number: 2014-17282

Type: Notice

Date: 2014-07-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17282.html

Proposed Collection; Comment Request

Document Number: 2014-17281

Type: Notice

Date: 2014-07-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17281.html

Proposed Collection; Comment Request

Document Number: 2014-17280

Type: Notice

Date: 2014-07-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17280.html

Proposed Collection; Comment Request

Document Number: 2014-17279

Type: Notice

Date: 2014-07-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17279.html

Proposed Collection; Comment Request

Document Number: 2014-17278

Type: Notice

Date: 2014-07-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17278.html

FundVantage Trust, et al.

Document Number: 2014-17270

Type: Notice

Date: 2014-07-23

Agency: Securities and Exchange Commission, Agencies and Commissions

Summary of the Application: The order would permit certain open-end management investment companies registered under the Act to acquire shares of certain open-end management investment companies registered under the Act that are outside of the same group of investment companies as the acquiring investment companies. Applicants: FundVantage Trust (the ``Trust''), Gotham Asset Management, LLC (the ``Adviser''), and Foreside Funds Distributor, LLC (the ``Distributor'').

https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17270.html

Stellus Capital Investment Corporation, et al.;

Document Number: 2014-17267

Type: Notice

Date: 2014-07-23

Agency: Securities and Exchange Commission, Agencies and Commissions

Summary of the Application: The Company requests an order to permit it to adhere to a modified asset coverage requirement.

https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17267.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070

Document Number: 2014-17266

Type: Notice

Date: 2014-07-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17266.html

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust

Document Number: 2014-17265

Type: Notice

Date: 2014-07-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17265.html

Sunshine Act Meeting

Document Number: 2014-17188

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17188.html

In the Matter of Cubed, Inc.; Order of Suspension of Trading

Document Number: 2014-17186

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17186.html

Sunshine Act Meeting

Document Number: 2014-17142

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17142.html

Sunshine Act Meeting

Document Number: 2014-17141

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17141.html

Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Duration Mortgage Opportunities ETF of First Trust Exchange-Traded Fund IV

Document Number: 2014-17034

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17034.html

Submission for OMB Review; Comment Request

Document Number: 2014-17020

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17020.html

Proposed Collection; Comment Request

Document Number: 2014-17019

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17019.html

Proposed Collection; Comment Request

Document Number: 2014-17018

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17018.html

Proposed Collection; Comment Request

Document Number: 2014-17017

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17017.html

Proposed Collection; Comment Request

Document Number: 2014-17016

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17016.html

Proposed Collection; Comment Request

Document Number: 2014-17015

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17015.html

Proposed Collection; Comment Request

Document Number: 2014-17014

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17014.html

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fees Schedule

Document Number: 2014-17013

Type: Notice

Date: 2014-07-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/21/2014-17013.html

In the Matter of: Natural Blue Resources, Inc., File No. 500-1; Order of Suspension of Trading

Document Number: 2014-17036

Type: Notice

Date: 2014-07-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-17036.html

Alaska Gold Corp., Blaze Energy Corp., Call Now, Inc., Hunt Global Resources, Inc., Imperial Petroleum Recovery Corporation, Metropolitan Mines Corporation, Limited, and SulphCo, Inc.; Order of Suspension of Trading

Document Number: 2014-17035

Type: Notice

Date: 2014-07-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-17035.html

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of a Recent Proposal Relating to Joint Back Office Participants

Document Number: 2014-16888

Type: Notice

Date: 2014-07-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-16888.html

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto To Modify the Order Execution Algorithm of NASDAQ OMX PSX

Document Number: 2014-16887

Type: Notice

Date: 2014-07-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/18/2014-16887.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports

Document Number: 2014-16824

Type: Notice

Date: 2014-07-17

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16824.html

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change Its Procedure for Processing Fingerprints Under Existing Rule 807

Document Number: 2014-16787

Type: Notice

Date: 2014-07-17

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16787.html

Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Make Its Existing Policy Concerning Specified Concentration Limits Related to Deposits of Certain Letters of Credit Applicable to All Letters of Credit

Document Number: 2014-16786

Type: Notice

Date: 2014-07-17

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16786.html

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise End-of-Day Price Discovery Policies and Procedures

Document Number: 2014-16785

Type: Notice

Date: 2014-07-17

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/17/2014-16785.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: 2014-16665

Type: Notice

Date: 2014-07-16

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16665.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: 2014-16664

Type: Notice

Date: 2014-07-16

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16664.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rules 7.6, 7.11, 7.16, 7.31, 7.34, 7.35, 7.37 and 7.65 To Eliminate Certain Order Types, Modifiers and Related References

Document Number: 2014-16653

Type: Notice

Date: 2014-07-16

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16653.html

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees

Document Number: 2014-16652

Type: Notice

Date: 2014-07-16

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2014/07/16/2014-16652.html