Securities and Exchange Commission March 5, 2013 – Federal Register Recent Federal Regulation Documents

Results 1 - 13 of 13
Southern USA Resources, Inc., Order of Suspension of Trading
Document Number: 2013-05147
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05147.html
Sunshine Act Meetings
Document Number: 2013-05089
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05089.html
Triangle Capital Corporation; Notice of Application
Document Number: 2013-05026
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05026.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange's Facilities at 20 Broad Street and Amending NYSE Rule 6A, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Document Number: 2013-05019
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05019.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange's Facilities at 20 Broad Street and Amending Rule 6A-Equities, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor”
Document Number: 2013-05018
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05018.html
Market Vectors ETF Trust, et al.; Notice of Application
Document Number: 2013-05012
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order that would permit (a) certain open-end management investment companies or series thereof to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. Applicants: Market Vectors ETF Trust (the ``Trust''), Van Eck Associates Corporation (the ``Adviser''), and Van Eck Securities Corporation (the ``Distributor'').
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05012.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in Connection With the Implementation of the National Market System Plan To Address Extraordinary Market Volatility
Document Number: 2013-05004
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05004.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in Connection With the Implementation of the National Market System Plan To Address Extraordinary Market Volatility
Document Number: 2013-05003
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05003.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2013-04993
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04993.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2013-04992
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04992.html
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 Schedule
Document Number: 2013-04991
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04991.html
Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust and U.S. Equity High Volatility Put Write Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M
Document Number: 2013-04990
Type: Notice
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04990.html
Adjustments to Civil Monetary Penalty Amounts
Document Number: 2013-04931
Type: Rule
Date: 2013-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
This rule implements the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended by the Debt Collection Improvement Act of 1996. The Commission is adopting a rule adjusting for inflation the maximum amount of civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and certain penalties under the Sarbanes-Oxley Act of 2002.
https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04931.html
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