<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2013/01/23?registers=between Wed, 28 May 2025 18:44:15 -0700 Wed, 28 May 2025 18:44:15 -0700 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/agencies-and-commissions/securities-and-exchange-commission/2013/01/23?registers=between Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change To Amend Performance Evaluations With Respect to Quote Submissions of Streaming Quote Traders and Remote Streaming Quote Traders https://regulations.justia.com/regulations/fedreg/2013/01/23/C1-2013-00201.html https://regulations.justia.com/regulations/fedreg/2013/01/23/C1-2013-00201.html Wed, 23 Jan 2013 00:00:00 -0800 C1-2013-00201 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/C1-2013-00201.pdf Notice - In the Matter of AlphaTrade.com; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01398.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01398.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01398 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01398.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 To Amend the Listing Rules for Compensation Committees To Comply With Rule 10C-1 Under the Act https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01281.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01281.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01281 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01281.pdf Rule - Lost Securityholders and Unresponsive Payees https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01269.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01269.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01269 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01269.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Record-Keeping and Substitution Listing Fees Payable by Companies Listed on Nasdaq https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01245.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01245.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01245 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01245.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Review of Delisting Determinations and Appeal of Panel Decisions https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01244.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01244.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01244 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01244.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Establish Optional TRACE Data Delivery Services and Related Fees https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01243.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01243.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01243 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01243.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Pricing Schedule https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01226.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01226.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01226 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01226.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change With Respect to INAV Pegged Orders for ETFs https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01225.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01225.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01225 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01225.pdf Notice - 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, Relating to the Listing and Trading of Shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund Under NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01224.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01224.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01224 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01224.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the U.S. Equity High Volatility Put Write Index Fund Under NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01223.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01223.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01223 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01223.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the Newfleet Multi-Sector Income ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01222.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01222.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01222 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01222.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01221.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01221.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01221 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01221.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, To Amend the Listing Rules for Compensation Committees To Comply With Securities Exchange Act Rule 10-C-1 and Make Other Related Changes https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01220.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01220.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01220 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01220.pdf Rule - Authority Citation Correction https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01202.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01202.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01202 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01202.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01058.html https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01058.html Wed, 23 Jan 2013 00:00:00 -0800 2013-01058 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01058.pdf