Securities and Exchange Commission February 19, 2013 – Federal Register Recent Federal Regulation Documents

Results 1 - 9 of 9
Sunshine Act Meeting.
Document Number: 2013-03829
Type: Notice
Date: 2013-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03829.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding Catastrophic Errors
Document Number: 2013-03706
Type: Notice
Date: 2013-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03706.html
Proposed Collection; Comment Request
Document Number: 2013-03690
Type: Notice
Date: 2013-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03690.html
Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Measure Used To Determine Whether the Price of a Stock Is Equal to or Greater Than One Dollar Under Rule 4120(a)(11)
Document Number: 2013-03687
Type: Notice
Date: 2013-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03687.html
AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application
Document Number: 2013-03686
Type: Notice
Date: 2013-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would permit them to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. Applicants: AdvisorShares Investments, LLC (the ``Advisor'') and AdvisorShares Trust (the ``Trust'').
https://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03686.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 7.11 To Establish Rules To Comply With the Requirements of the Plan To Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS
Document Number: 2013-03685
Type: Notice
Date: 2013-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03685.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates To Add Liquidity in Penny Pilot Options
Document Number: 2013-03684
Type: Notice
Date: 2013-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03684.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: 2013-03683
Type: Notice
Date: 2013-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03683.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 7014 and 7018
Document Number: 2013-03682
Type: Notice
Date: 2013-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03682.html
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