<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/02/11?registers=between Wed, 27 Nov 2024 04:36:10 -0800 Wed, 27 Nov 2024 04:36:10 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/02/11?registers=between Notice - Joint Industry Plan; Notice of Amendment to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, and NYSE MKT LLC, NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02840.html https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02840.html Wed, 11 Feb 2015 00:00:00 -0800 2015-02840 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-02-11/pdf/2015-02840.pdf Notice - NexPoint Credit Strategies Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02796.html https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02796.html Wed, 11 Feb 2015 00:00:00 -0800 2015-02796 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-02-11/pdf/2015-02796.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt an Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02752.html https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02752.html Wed, 11 Feb 2015 00:00:00 -0800 2015-02752 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-02-11/pdf/2015-02752.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Additional European Sovereign CDS Contracts https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02751.html https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02751.html Wed, 11 Feb 2015 00:00:00 -0800 2015-02751 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-02-11/pdf/2015-02751.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change, and Amendment 1 Thereto, To Expand the Officers Who May Declare That a Clearing Member Is Summarily Suspended https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02750.html https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02750.html Wed, 11 Feb 2015 00:00:00 -0800 2015-02750 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-02-11/pdf/2015-02750.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to a Typographical Error https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02749.html https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02749.html Wed, 11 Feb 2015 00:00:00 -0800 2015-02749 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-02-11/pdf/2015-02749.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change Adopt BOX Rule 7300 To Allow the Exchange To Trade Preferenced Orders https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02748.html https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02748.html Wed, 11 Feb 2015 00:00:00 -0800 2015-02748 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-02-11/pdf/2015-02748.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Part 8 of the NYSE MKT Company Guide to (i) Require the Chief Executive Officers of Listed Companies to Provide Annual Certification with Respect to the Company's Compliance with the Requirements of Part 8 of the Company Guide, (ii) Require Listed Companies to Submit Annual and Interim Written Affirmations, and (iii) Make Certain Other Clarifying Changes https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02747.html https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02747.html Wed, 11 Feb 2015 00:00:00 -0800 2015-02747 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-02-11/pdf/2015-02747.pdf Notice - The Saratoga Advantage Trust and James Alpha Management, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02745.html https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02745.html Wed, 11 Feb 2015 00:00:00 -0800 2015-02745 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-02-11/pdf/2015-02745.pdf