Securities and Exchange Commission March 15, 2013 – Federal Register Recent Federal Regulation Documents

Results 1 - 10 of 10
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 To NYSE Arca Options Rule 6.72 To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013
Document Number: 2013-06045
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-06045.html
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 To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013
Document Number: 2013-06044
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-06044.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Add Two Self-Trade Prevention Modifiers That May Be Used by Certain Market Participants
Document Number: 2013-05986
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05986.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List To Increase the Gross FOCUS Fee
Document Number: 2013-05985
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05985.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention (“STP”) Modifiers That May Be Used by Certain Market Participants
Document Number: 2013-05984
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05984.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Maximum Time Afforded to a Market Maker To Meet Its Market Making Obligations Upon Rejoining the Market After an Excused Withdrawal Under Rule 4619
Document Number: 2013-05983
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05983.html
AIP Series Trust and Morgan Stanley AIP GP LP; Notice of Application
Document Number: 2013-05982
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05982.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity
Document Number: 2013-05981
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05981.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity
Document Number: 2013-05980
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05980.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Document Number: 2013-05979
Type: Notice
Date: 2013-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05979.html
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