Securities and Exchange Commission February 24, 2015 – Federal Register Recent Federal Regulation Documents

Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.15

Document Number: 2015-03821

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03821.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I

Document Number: 2015-03713

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03713.html

Realty Capital Income Funds Trust, et al.; Notice of Application

Document Number: 2015-03689

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

Summary of the Application: Applicants request an order that would (a) permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies, registered closed-end management investment companies, ``business development companies,'' as defined by section 2(a)(48) of the 1940 Act, and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open-end management investment companies relying on rule 12d1-2 under the 1940 Act to invest in certain financial instruments. Applicants: Realty Capital Income Funds Trust (``Trust''), National Fund Advisors, LLC (``Adviser''), and Realty Capital Securities, LLC (the ``Distributor'').

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03689.html

Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Amending Rule 13-Equities and Related Rules Governing Order Types and Modifiers

Document Number: 2015-03678

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03678.html

Submission for OMB Review; Comment Request

Document Number: 2015-03670

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03670.html

Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.15 Entitled “Imposition of Fines for Minor Violation(s) of Rules”

Document Number: 2015-03669

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03669.html

Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.15 Entitled “Imposition of Fines for Minor Violation(s) of Rules”

Document Number: 2015-03668

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03668.html

Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.15 Entitled “Imposition of Fines for Minor Violation(s) of Rules”

Document Number: 2015-03667

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03667.html

Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the iShares U.S. Fixed Income Balanced Risk ETF of the iShares U.S. ETF Trust Under Rule 14.11(i)

Document Number: 2015-03666

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03666.html

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2015-03665

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03665.html

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.15 Entitled “Imposition of Fines for Minor Violation(s) of Rules”

Document Number: 2015-03664

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03664.html

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 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

Document Number: 2015-03663

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03663.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of WisdomTree Put Write Strategy Fund Under Commentary .01 to NYSE Arca Equities Rule 5.2(j)(3)

Document Number: 2015-03661

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03661.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Increase the Late Cancellation Fee

Document Number: 2015-03660

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03660.html

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2015-03659

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03659.html

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 402.05 of the NYSE Listed Company Manual To Clarify That Listed Companies Soliciting Proxy Material Through Brokers or Other Entities Must Comply With SEC Rule 14a-13

Document Number: 2015-03658

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03658.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: 2015-03657

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03657.html

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for the BATS One Feed, and Amend Fees for BZX Top and BZX Last Sale

Document Number: 2015-03656

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03656.html

Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for the BATS One Feed, and Amend Fees for BYX Top and BYX Last Sale

Document Number: 2015-03655

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03655.html

Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for EDGA Top, EDGA Last Sale, and the BATS One Feed

Document Number: 2015-03654

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03654.html

Eagle Point Credit Company Inc., et al.; Notice of Application

Document Number: 2015-03653

Type: Notice

Date: 2015-02-24

Agency: Securities and Exchange Commission, Agencies and Commissions

Summary of Application: Applicants request an order to permit Eagle Point Credit Company Inc. to co-invest in portfolio companies with certain affiliated investment funds. Applicants: Eagle Point Credit Company Inc. (``EPCC''), Eagle Point Credit Management LLC (``EPCM''), Eagle Point Credit Partners LP (``EPCP''), Eagle Point Credit GP I LP (``General Partner''), Eagle Point Credit Company Sub LLC (``EPCC Sub''), Eagle Point Credit Partners Sub Ltd. (``EPCP Sub''), and Eagle Point Credit Partners Sub III Ltd. (``EPCP Sub III'').

https://regulations.justia.com/regulations/fedreg/2015/02/24/2015-03653.html