Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2013/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-05-02T21:03:36-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/02/28/2013-04623.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendments No. 1 and No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendments No. 1 and No. 2 To List and Trade Shares of the iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.2012013-02-28T00:00:00-08:002013-02-28T00:00:00-08:002013-04623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-28/pdf/2013-04623.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/28/2013-04615.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To List Options on the Dow Jones FXCM Dollar Index2013-02-28T00:00:00-08:002013-02-28T00:00:00-08:002013-04615Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-28/pdf/2013-04615.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/28/2013-04614.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust High Yield Long/Short ETF of First Trust Exchange-Traded Fund IV2013-02-28T00:00:00-08:002013-02-28T00:00:00-08:002013-04614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-28/pdf/2013-04614.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/28/2013-04552.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Clarifying Language To Conform Interpretive Guidance Concerning Options Overlying Fund Shares With OCC's By-Laws Governing Adjustments2013-02-28T00:00:00-08:002013-02-28T00:00:00-08:002013-04552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-28/pdf/2013-04552.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/27/2013-04651.htmlNotice - Sunshine Act Meetings2013-02-27T00:00:00-08:002013-02-27T00:00:00-08:002013-04651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-27/pdf/2013-04651.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/27/2013-04545.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Reduce the Directed Order Exposure Period on BOX From Three Seconds to One Second2013-02-27T00:00:00-08:002013-02-27T00:00:00-08:002013-04545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-27/pdf/2013-04545.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/27/2013-04544.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Market-Maker Continuous Quoting Obligations2013-02-27T00:00:00-08:002013-02-27T00:00:00-08:002013-04544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-27/pdf/2013-04544.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04506.htmlNotice - In the Matter of Digital Video Systems, Inc., Geocom Resources, Inc., and GoldMountain Exploration Corp., and Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation)2013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04506.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04369.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Its Rules To Reflect the Merger of NYSE Arca Holdings, Inc., an Intermediate Holding Company, Into and With NYSE Group, Inc., Thereby Eliminating NYSE Arca Holdings, Inc. From the Ownership Structure of the Exchange2013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04369.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04368.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise Market Maker Obligations Regarding the Opening Process on the Exchange2013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04368.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04367.htmlNotice - Submission for OMB Review; Comment Request2013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04367.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04366.htmlNotice - Submission for OMB Review; Comment Request2013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04366.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04360.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service Is Fully Restored or Friday, March 29, 20132013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04360Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04360.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04359.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Enhance the Functionality Offered on Its Options Floor Broker Management System (“FBMS”) by, Among Other Things, Automating Functions Currently Performed by Floor Brokers2013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04359.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04358.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service Is Fully Restored or Friday, March 29, 20132013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04358.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04357.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Enhanced Margin Methodology2013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04357.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04356.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Second Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, the Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.2013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04356.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/26/2013-04350.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification2013-02-26T00:00:00-08:002013-02-26T00:00:00-08:002013-04350Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-26/pdf/2013-04350.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/25/2013-04268.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2013-02-25T00:00:00-08:002013-02-25T00:00:00-08:002013-04268Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-25/pdf/2013-04268.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/22/2013-04133.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Market-Maker Continuous Quoting Obligations2013-02-22T00:00:00-08:002013-02-22T00:00:00-08:002013-04133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-22/pdf/2013-04133.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/22/2013-04101.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4 of Schedule A to the FINRA By-Laws To Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 To Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application2013-02-22T00:00:00-08:002013-02-22T00:00:00-08:002013-04101Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-22/pdf/2013-04101.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/22/2013-04100.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule2013-02-22T00:00:00-08:002013-02-22T00:00:00-08:002013-04100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-22/pdf/2013-04100.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/22/2013-04098.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Add Rules Related to the Clearing of European Corporate Single-Name CDS2013-02-22T00:00:00-08:002013-02-22T00:00:00-08:002013-04098Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-22/pdf/2013-04098.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/22/2013-04097.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Add Rules Related to the Clearing of iTraxx Europe Index CDS2013-02-22T00:00:00-08:002013-02-22T00:00:00-08:002013-04097Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-22/pdf/2013-04097.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/22/2013-04096.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 1, To Establish the Retail Price Improvement Program on a Pilot Basis until 12 Months From the Date of Implementation2013-02-22T00:00:00-08:002013-02-22T00:00:00-08:002013-04096Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-22/pdf/2013-04096.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/22/2013-04092.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, Which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and to Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform2013-02-22T00:00:00-08:002013-02-22T00:00:00-08:002013-04092Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-22/pdf/2013-04092.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/22/2013-04014.htmlNotice - Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program for an Additional Fourteen Months2013-02-22T00:00:00-08:002013-02-22T00:00:00-08:002013-04014Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-22/pdf/2013-04014.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/22/2013-04013.htmlNotice - UBS AG, et al.; Notice of Application and Temporary Order2013-02-22T00:00:00-08:002013-02-22T00:00:00-08:002013-04013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-22/pdf/2013-04013.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-04083.htmlNotice - Vitaminspice Inc.; Order of Suspension of Trading2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-04083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-04083.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03972.htmlNotice - Proposed Collection; Comment Request2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03972.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03971.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Update Chapter 26 and Remove Schedule 502 of the ICE Clear Credit Rules2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03971.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03970.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cambria Shareholder Yield ETF Pursuant to NYSE Arca Equities Rule 8.6002013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03970.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03969.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Filing, as Modified by Amendment No. 1 Thereto, To Enter Into an Unsecured, Committed Credit Agreement2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03969.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03968.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Text in the Exchange Fees Schedule2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03968.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03967.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03967.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03966.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.87 in Part and Adding a New Section To Address Errors That Involve Complex Orders2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03966.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03965.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 975NY in Part and Adding a New Section To Address Errors That Involve Complex Orders2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03965.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03964.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, To Establish the Market Quality Program2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03964.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/21/2013-03899.htmlNotice - Order Extending Temporary Exemptions From Certain Rules of Regulation SHO Related to Hurricane Sandy2013-02-21T00:00:00-08:002013-02-21T00:00:00-08:002013-03899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-21/pdf/2013-03899.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/C1-2013-02624.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to EDGA Rule 13.92013-02-20T00:00:00-08:002013-02-20T00:00:00-08:00C1-2013-02624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/C1-2013-02624.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03822.htmlNotice - Emerging Global Advisors, LLC, et al.; Notice of Application2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03822.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03821.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Customer Rebate Program and Other Technical Amendments2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03821Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03821.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03820.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03820Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03820.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03819.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend the Minimum Trading Increments for Mini Options2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03819.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03818.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03818.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03817.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Certain NMS Stocks2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03817Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03817.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03816.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Certain NMS Stocks2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03816.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03793.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for Certain NMS Stocks2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03793Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03793.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03791.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20132013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03791.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03753.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the WisdomTree Euro Debt Fund2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03753.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/20/2013-03752.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify BX's Fee Schedule Governing Order Execution2013-02-20T00:00:00-08:002013-02-20T00:00:00-08:002013-03752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-20/pdf/2013-03752.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03829.htmlNotice - Sunshine Act Meeting.2013-02-19T00:00:00-08:002013-02-19T00:00:00-08:002013-03829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03829.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03706.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding Catastrophic Errors2013-02-19T00:00:00-08:002013-02-19T00:00:00-08:002013-03706Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03706.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03690.htmlNotice - Proposed Collection; Comment Request2013-02-19T00:00:00-08:002013-02-19T00:00:00-08:002013-03690Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03690.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03687.htmlNotice - 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)2013-02-19T00:00:00-08:002013-02-19T00:00:00-08:002013-03687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03687.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03686.htmlNotice - AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application2013-02-19T00:00:00-08:002013-02-19T00:00:00-08:002013-03686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03686.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03685.htmlNotice - 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 NMS2013-02-19T00:00:00-08:002013-02-19T00:00:00-08:002013-03685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03685.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03684.htmlNotice - 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 Options2013-02-19T00:00:00-08:002013-02-19T00:00:00-08:002013-03684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03684.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03683.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-02-19T00:00:00-08:002013-02-19T00:00:00-08:002013-03683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03683.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/19/2013-03682.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 7014 and 70182013-02-19T00:00:00-08:002013-02-19T00:00:00-08:002013-03682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03682.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03576.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule2013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03576.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03572.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Introduce a New Electronic Customer Rate for Certain Executions That Take Liquidity2013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03572.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03570.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule2013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03570.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03569.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03569Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03569.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03545.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification2013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03545.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03520.htmlNotice - 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.2013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03520Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03520.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03519.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Circumstances Under Which Liquidity Providing Credits are Paid to Institutional Brokers2013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03519.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03490.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade PIMCO Foreign Currency Strategy Exchange-Traded Fund Under NYSE Arca Equities Rule 8.6002013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03490Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03490.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03489.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade First Trust Preferred Securities and Income ETF Under NYSE Arca Equities Rule 8.6002013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03489.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/15/2013-03428.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend Various CBOE Rules Governing Letters of Guarantee and Authorization2013-02-15T00:00:00-08:002013-02-15T00:00:00-08:002013-03428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-15/pdf/2013-03428.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03447.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Program2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03447.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03426.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03426.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03411.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit Inbound Orders Routed by Nasdaq Execution Services LLC From the NASDAQ OMX BX Equities Market and NASDAQ OMX PSX2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03411Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03411.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03410.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Program2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03410.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03409.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of European Corporate Single-Name CDS2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03409Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03409.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03408.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03408Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03408.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03397.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Requesting Permanent Approval of a Pilot Program To Receive Inbound Equities Orders From PSX Through NES2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03397.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03396.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit PSX To Accept Inbound Orders Routed by Nasdaq Execution Services LLC From the BX Equities Market2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03396Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03396.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03395.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to Proposed Rule Change To Establish a Pilot Program, as Modified by Amendment Nos. 2, 3, and 4, To List and Trade a P.M.-Settled S&P 500 Index Option Product2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03395Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03395.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03394.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03394Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03394.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03393.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2102 To Extend the Pilot Program2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03393Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03393.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03392.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Program Related To Trading Pauses Due to Extraordinary Market Volatility2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03392Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03392.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03391.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add Rules Related to the Clearing of iTraxx Europe Index CDS2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03391Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03391.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03390.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees in Section II of the Pricing Schedule2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03390.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03389.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C 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 NMS2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03389Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03389.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03388.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 80C-Equities 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 NMS2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03388Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03388.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03387.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03387.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03386.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Permit the Minimum Price Variation for Mini-Options To Be the Same as Permitted for Standard Options on the Same Security2013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03386.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/14/2013-03385.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-372013-02-14T00:00:00-08:002013-02-14T00:00:00-08:002013-03385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03385.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03304.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Short Term Options Series Program2013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03304Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03304.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03278.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the SPDR Blackstone/GSO Senior Loan ETF Under NYSE Arca Equities Rule 8.6002013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03278Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03278.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03277.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Related to Legal Segregation With Operational Commingling2013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03277Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03277.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03276.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade the Guggenheim Enhanced Total Return ETF Under NYSE Arca Equities Rule 8.6002013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03276Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03276.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03275.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Cease Operating New York Block Exchange and Contemporaneously Delete the Text of Rule 1600, Which Governs NYBX Functionality2013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03275Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03275.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03274.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03274.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03273.htmlNotice - Submission for OMB Review; Comment Request2013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03273Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03273.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03272.htmlNotice - Proposed Collection; Comment Request2013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03272.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03271.htmlNotice - Proposed Collection; Comment Request2013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03271.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/13/2013-03214.htmlNotice - Order Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Revision of the Definition of “Security” to Encompass Security-Based Swaps, and Request for Comment2013-02-13T00:00:00-08:002013-02-13T00:00:00-08:002013-03214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-13/pdf/2013-03214.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03254.htmlNotice - Sunshine Act Meeting2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03254.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03190.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.20B To Extend the Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03190Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03190.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03189.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Individual Stock Trading Pause Pilot Program2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03189.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03188.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Individual Stock Trading Pause Pilot Program2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03188Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03188.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03187.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 2, Which Provides for, Among Other Things, Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan To Address Extraordinary Market Volatility or February 4, 20142013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03187.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03186.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03186.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03185.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the Purpose of Amending Rule 7014(g)2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03185Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03185.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03107.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restore Certain Requirements That Were Inadvertently Deleted From Rule 5815 Relating to a Staff Delisting Determination, Public Reprimand Letter, or Written Denial of a Listing Application2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03107.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03106.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism From One Second to 500 Milliseconds2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03106.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03105.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03105.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03104.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the “Late Report-T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03104.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03103.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Opening of the Complex Order Book2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03103Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03103.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03102.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Opening of the Complex Order Book2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03102Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03102.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03101.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Require Members To Report OTC Equity Transactions as Soon As Practicable, But No Later Than 10 Seconds, Following Execution2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03101Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03101.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03100.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Locator Service Offered at No Cost to Subscribing Members2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03100.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03099.htmlNotice - Self-Regulatory Organizations; NASDAQ OMS BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Routing Functionality to the NASDAQ OMX BX Equities Market2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03099Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03099.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03098.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Routing Functionality to the NASDAQ System2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03098Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03098.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/12/2013-03097.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Routing Functionality of the NASDAQ OMX PSX Market2013-02-12T00:00:00-08:002013-02-12T00:00:00-08:002013-03097Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-12/pdf/2013-03097.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-03072.htmlNotice - Notice of Sunshine Act Meeting2013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-03072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-03072.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02999.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make the Market Data Product, the BOX High Speed Vendor Feed (“HSVF”), Available to All Market Participants2013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02999.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02954.htmlNotice - Submission for OMB Review; Comment Request2013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02954Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02954.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02953.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments2013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02953Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02953.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02952.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)2013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02952.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02951.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02951Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02951.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02950.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02950Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02950.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02949.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Eliminate the Offset of Its Obligations With Institutional Delivery Transactions That Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures2013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02949.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02923.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule2013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02923Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02923.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02798.htmlNotice - Self-Regulatory Organizations; The NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to [sic] Proposes To Delay the Operative Date of a Rule Change to Exchange Rule 1332013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02798.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/11/2013-02797.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating [sic] to Delay the Operative Date of a Rule Change to Exchange Rule 41212013-02-11T00:00:00-08:002013-02-11T00:00:00-08:002013-02797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-02797.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02980.htmlNotice - Advance Nanotech, Inc., Advanced ID Corp., Aeon Holdings, Inc. (n/k/a BCM Energy Partners, Inc.), ANTS Software, Inc., Beauty Brands Group, Inc., Beijing Century Health Medical, Inc., Chocolate Candy Creations, Inc., Crystallex International Corp., Dermaxar, Inc., Dragon International Group Corp., e-SIM, Ltd., EcoReady Corp., EnDevCo, Inc., Electronic Kourseware International, Inc., Ensign Services, Inc., and eTelCharge.com, Inc.; Order of Suspension of Trading2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02980Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02980.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02853.htmlNotice - Submission for OMB Review; Comment Request2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02853Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02853.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02852.htmlNotice - Submission for OMB Review; Comment Request2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02852Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02852.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02851.htmlNotice - Submission for OMB Review; Comment Request2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02851Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02851.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02850.htmlNotice - Submission for OMB Review; Comment Request2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02850.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02849.htmlNotice - Submission for OMB Review; Comment Request2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02849.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02848.htmlNotice - Submission for OMB Review; Comment Request2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02848Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02848.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02847.htmlNotice - Submission for OMB Review; Comment Request2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02847Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02847.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02846.htmlNotice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; NASDAQ OMX BX, Inc.; the NASDAQ Stock Market LLC; NASDAQ OMX PHLX LLC; Stock Clearing Corporation of Philadelphia; Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02846Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02846.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02845.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by International Securities Exchange, LLC To Amend ISE Rule 2128 Relating to Clearly Erroneous Trades2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02845Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02845.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02800.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Rule 3312, Entitled “Clearly Erroneous Transactions”2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02800Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02800.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/08/2013-02799.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program Related to Rule 11890, Entitled “Clearly Erroneous Transactions”2013-02-08T00:00:00-08:002013-02-08T00:00:00-08:002013-02799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-08/pdf/2013-02799.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02747.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Options Fee Schedule2013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02747.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02746.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 To Extend the Operation of a Pilot Pursuant to Rule 11.13 Until September 30, 20132013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02746.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02745.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 To Extend the Operation of a Pilot Pursuant to Rule 11.13 Until September 30, 20132013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02745.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02712.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program Related to Rule 11890, entitled “Clearly Erroneous Transactions”2013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02712Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02712.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02711.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change To Provide for a Customer Clearing Model for CDS Products and To Amend, Clarify, and Consolidate Certain Rules and Procedures2013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02711Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02711.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02710.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.10, Which Governs Clearly Erroneous Executions, Extending the Effective Date of the Pilot Until September 30, 2013 and Adopting New Paragraph (i) to NYSE Arca Equities Rule 7.10 In Connection With the Upcoming Operation of the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Under the Act2013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02710Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02710.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02709.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Clearly Erroneous Pilot Period and To Adopt a New Provision in Connection With the Limit Up-Limit Down Plan2013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02709Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02709.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02708.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt a New Order Type Called the “Auto-Ex Only” Order2013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02708Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02708.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02707.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.19 To Extend a Pilot Program Regarding Clearly Erroneous Executions2013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02707Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02707.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02706.htmlNotice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending CHX Article 20, Rule 10 To Extend the Effective Date of Certain Clearly Erroneous Transactions Provisions Operating Under a Pilot Until September 30, 2013 and To Establish Guidelines for the Handling of Clearly Erroneous Transactions in Connection With the Plan To Address Extraordinary Market Volatility2013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02706Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02706.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02705.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBSX Rule 52.4 Relating to the Clearly Erroneous Policy2013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02705Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02705.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/07/2013-02704.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Rule 41202013-02-07T00:00:00-08:002013-02-07T00:00:00-08:002013-02704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-07/pdf/2013-02704.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/05/2013-02485.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Delay the Operative Date of a Rule Change To Exchange Rule 6.3B2013-02-05T00:00:00-08:002013-02-05T00:00:00-08:002013-02485Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-05/pdf/2013-02485.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/05/2013-02484.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Operative Date of a Rule Change to Exchange Rule 6.32.032013-02-05T00:00:00-08:002013-02-05T00:00:00-08:002013-02484Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-05/pdf/2013-02484.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/05/2013-02479.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Chapter XV, Section 2 of the Rules Governing the NASDAQ Options Market, NASDAQ's Facility for Executing and Routing Standardized Equity and Index Options2013-02-05T00:00:00-08:002013-02-05T00:00:00-08:002013-02479Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-05/pdf/2013-02479.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/05/2013-02426.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of Certain Securities2013-02-05T00:00:00-08:002013-02-05T00:00:00-08:002013-02426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-05/pdf/2013-02426.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/05/2013-02425.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require Members To Report to TRACE the “Factor” in Limited Instances Involving Asset-Backed Security Transactions2013-02-05T00:00:00-08:002013-02-05T00:00:00-08:002013-02425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-05/pdf/2013-02425.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/05/2013-02424.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval to a Proposed Rule Change Relating to Bylaw and Other Changes Concerning the Board of Directors of the Exchange2013-02-05T00:00:00-08:002013-02-05T00:00:00-08:002013-02424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-05/pdf/2013-02424.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/05/2013-02423.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval to a Proposed Rule Change Relating to Bylaw and Other Changes Concerning the Board of Directors of the Exchange2013-02-05T00:00:00-08:002013-02-05T00:00:00-08:002013-02423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-05/pdf/2013-02423.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/05/2013-02422.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Market-Wide Trading Halts2013-02-05T00:00:00-08:002013-02-05T00:00:00-08:002013-02422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-05/pdf/2013-02422.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02304.htmlNotice - Allianz Variable Insurance Products Fund of Funds Trust, et al.;2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02304Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02304.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02303.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 4756 and Rule 4763 Regarding Modification of Previously Entered Orders2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02303Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02303.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02302.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Market Maker Fees2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02302Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02302.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02301.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change to List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02301Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02301.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02300.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Revise Qualification Thresholds for Tiered Customer Posting Credits2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02300Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02300.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02299.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Withdrawal of Proposed Rule Change To Clear Western European Sovereign CDS Contracts2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02299.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02298.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rules in Connection With the Elimination of Discretionary Orders for BATS Options2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02298Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02298.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02297.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Fees Schedule2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02297Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02297.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02291.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan To Address Extraordinary Market Volatility or February 4, 20142013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02291.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02290.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C To Allow a Retail Member Organization To Attest That “Substantially All” Orders Submitted To The Retail Liquidity Program Will Qualify As “Retail Orders”2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02290Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02290.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02289.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the Attestation Requirement of Rule 107C-Equities To Allow a Retail Member Organization To Attest That “Substantially All” Orders Submitted to the Retail Liquidity Program Will Qualify as “Retail Orders”2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02289Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02289.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02288.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 80C, Which Provides For Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan To Address Extraordinary Market Volatility or February 4, 20142013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02288Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02288.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02287.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 80C-Equities, Which Provides for Trading Pauses in Individual Securities Due to Extraordinary Market Volatility, Extending the Effective Date of the Pilot Until the Earlier of the Initial Date of Operations of the Regulation NMS Plan To Address Extraordinary Market Volatility or February 4, 20142013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02287Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02287.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/04/2013-02191.htmlRule - Extension of Exemptions for Security-Based Swaps2013-02-04T00:00:00-08:002013-02-04T00:00:00-08:002013-02191Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02191.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/01/2013-02187.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Minimum Volume Orders2013-02-01T00:00:00-08:002013-02-01T00:00:00-08:002013-02187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-01/pdf/2013-02187.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/01/2013-02186.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend the International Securities Exchange, LLC Amended and Restated Constitution2013-02-01T00:00:00-08:002013-02-01T00:00:00-08:002013-02186Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-01/pdf/2013-02186.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/01/2013-02149.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402013-02-01T00:00:00-08:002013-02-01T00:00:00-08:002013-02149Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-01/pdf/2013-02149.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/01/2013-02148.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Pre-Opening Information2013-02-01T00:00:00-08:002013-02-01T00:00:00-08:002013-02148Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-01/pdf/2013-02148.pdfhttps://regulations.justia.com/regulations/fedreg/2013/02/01/2013-02147.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Pre-Opening Information2013-02-01T00:00:00-08:002013-02-01T00:00:00-08:002013-02147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-02-01/pdf/2013-02147.pdf