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

Results 101 - 150 of 181
AB Cap Fund, Inc., et al.;
Document Number: 2015-02916
Type: Notice
Date: 2015-02-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/12/2015-02916.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Closing Date of the Equity Rights Program
Document Number: 2015-02897
Type: Notice
Date: 2015-02-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/12/2015-02897.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program
Document Number: 2015-02896
Type: Notice
Date: 2015-02-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/12/2015-02896.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Internet Protocol Network Connections and Fiber Cross Connects Between a User's Cabinet and Non-User's Equipment as Co-Location Services
Document Number: 2015-02895
Type: Notice
Date: 2015-02-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/12/2015-02895.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility
Document Number: 2015-02894
Type: Notice
Date: 2015-02-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/12/2015-02894.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Internet Protocol Network Connections and Fiber Cross Connects Between a User's Cabinet and Non-User's Equipment as Co-Location Services
Document Number: 2015-02893
Type: Notice
Date: 2015-02-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/12/2015-02893.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Internet Protocol Network Connections and Fiber Cross Connects Between a User's Cabinet and Non-User's Equipment as Co-Location Services
Document Number: 2015-02892
Type: Notice
Date: 2015-02-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/12/2015-02892.html
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.
Document Number: 2015-02840
Type: Notice
Date: 2015-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02840.html
NexPoint Credit Strategies Fund, et al.; Notice of Application
Document Number: 2015-02796
Type: Notice
Date: 2015-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants seek an order to permit NHF to transfer certain real estate assets (the ``Multifamily Properties'') held by Freedom REIT, NHF's wholly-owned subsidiary, to NXRT REIT, a real estate investment trust (``REIT'') and NHF's wholly-owned subsidiary, in exchange for NXRT REIT common stock; to permit NHF to distribute such common stock to NHF's shareholders; and to permit NXRT Adviser to enter into an investment advisory agreement with NXRT REIT.
https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02796.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt an Options Regulatory Fee
Document Number: 2015-02752
Type: Notice
Date: 2015-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02752.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Additional European Sovereign CDS Contracts
Document Number: 2015-02751
Type: Notice
Date: 2015-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02751.html
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
Document Number: 2015-02750
Type: Notice
Date: 2015-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02750.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to a Typographical Error
Document Number: 2015-02749
Type: Notice
Date: 2015-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02749.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change Adopt BOX Rule 7300 To Allow the Exchange To Trade Preferenced Orders
Document Number: 2015-02748
Type: Notice
Date: 2015-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02748.html
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
Document Number: 2015-02747
Type: Notice
Date: 2015-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02747.html
The Saratoga Advantage Trust and James Alpha Management, LLC; Notice of Application
Document Number: 2015-02745
Type: Notice
Date: 2015-02-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/11/2015-02745.html
Sunshine Act Meeting
Document Number: 2015-02797
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02797.html
Sunshine Act Meeting
Document Number: 2015-02795
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02795.html
In the Matter of Med Pro Venture Capital, Inc; Order of Suspension of Trading
Document Number: 2015-02794
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02794.html
Exceed Advisory LLC and Exceed ETFs; Notice of Application
Document Number: 2015-02660
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02660.html
Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Document Number: 2015-02644
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02644.html
Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Ownership and Control Reports
Document Number: 2015-02643
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02643.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Document Number: 2015-02642
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02642.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rules 6.41 and 24.8
Document Number: 2015-02641
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02641.html
Securities Act of 1933, Release No. 9721/February 4, 2015; Securities Exchange Act of 1934, Release No. 74203/February 4, 2015; Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2015
Document Number: 2015-02637
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02637.html
Proposed Collection; Comment Request
Document Number: 2015-02616
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02616.html
Proposed Collection; Comment Request
Document Number: 2015-02615
Type: Notice
Date: 2015-02-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/10/2015-02615.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice, as Modified by Amendment No. 1, Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Document Number: 2015-02566
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02566.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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
Document Number: 2015-02512
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02512.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules of The NASDAQ Options Market Regarding Sharing of Risk Settings
Document Number: 2015-02511
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02511.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add New Rule 1016 To Authorize the Exchange To Share Phlx XL Participant-Designated Risk Settings in Phlx XL
Document Number: 2015-02504
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02504.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to Rule 3120 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Document Number: 2015-02503
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02503.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add New Section 20, Exchange Sharing of Participant-Designated Risk Settings, to Chapter VI, Trading Systems
Document Number: 2015-02502
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02502.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving 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.
Document Number: 2015-02501
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02501.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Standard Emerging Market Sovereign Single Names
Document Number: 2015-02500
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02500.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change to CME Rule 814 To Clarify Certain Operational Details Regarding Current CME Settlement Cycles
Document Number: 2015-02499
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02499.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the List of Securities Eligible for the Select Symbol Program Under Rule 7018(a)(4)
Document Number: 2015-02498
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02498.html
Victory Capital Management Inc., et al.; Notice of Application
Document Number: 2015-02488
Type: Notice
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02488.html
Rescission of Outdated Rules and Forms, and Amendments To Correct References
Document Number: 2015-02465
Type: Rule
Date: 2015-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is making technical amendments to update control numbers assigned to information collection requirements of the Commission by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1980.
https://regulations.justia.com/regulations/fedreg/2015/02/09/2015-02465.html
Asset-Backed Securities Disclosure and Registration
Document Number: 2015-02425
Type: Rule
Date: 2015-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
This release makes technical corrections to rules that were published in the Federal Register on September 24, 2014. The Commission adopted revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities. These technical amendments are being published to reinstate language that was inadvertently removed and make other technical corrections.
https://regulations.justia.com/regulations/fedreg/2015/02/06/2015-02425.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Shares of the iShares California AMT-Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF
Document Number: 2015-02342
Type: Notice
Date: 2015-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/06/2015-02342.html
Capital Group ETF Trust, et al.;
Document Number: 2015-02318
Type: Notice
Date: 2015-02-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/06/2015-02318.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2015-02303
Type: Notice
Date: 2015-02-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant seeks an order declaring that it has ceased to be an investment company. Applicants transferred their assets to BlackRock Resources & Commodities Strategy Trust, and on December 8, 2014, made distributions to their shareholders based on net asset value. Expenses of approximately $514,070 and $302,964, respectively, incurred in connection with the reorganizations were paid by applicants. Filing Date: The applications were filed on December 29, 2014. Applicants' Address: 100 Bellevue Parkway, Wilmington, DE 19809.
https://regulations.justia.com/regulations/fedreg/2015/02/05/2015-02303.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Its Continued Listing Requirements in Relation to the Late Filing of a Company's Annual Report With the Securities and Exchange Commission as Set Forth in Section 802.01E of the Exchange's Listed Company Manual
Document Number: 2015-02267
Type: Notice
Date: 2015-02-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/05/2015-02267.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Make a Change to the Amex Customer Engagement Program in Section I.E. of the Fee Schedule
Document Number: 2015-02252
Type: Notice
Date: 2015-02-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/05/2015-02252.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Enhancements to Its Risk Model for Credit Default Swaps
Document Number: 2015-02251
Type: Notice
Date: 2015-02-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/05/2015-02251.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Its Rules for the Listing and Trading on the Exchange of Options Settling to the RealVolTM
Document Number: 2015-02250
Type: Notice
Date: 2015-02-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/05/2015-02250.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Relating To Listing of Investment Company Units Based on Municipal Bond Indexes
Document Number: 2015-02109
Type: Notice
Date: 2015-02-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/04/2015-02109.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change With the Proposed Amendment of the Restated Certificate of Incorporation of Exchange Subsidiary NYSE Regulation, Inc.
Document Number: 2015-02108
Type: Notice
Date: 2015-02-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/04/2015-02108.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to Rule 14.13
Document Number: 2015-02107
Type: Notice
Date: 2015-02-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/04/2015-02107.html
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