Securities and Exchange Commission March 13, 2013 – Federal Register Recent Federal Regulation Documents

Blackstone Alternative Investment Funds, et al.; Notice of Application

Document Number: 2013-05759

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05759.html

Exchange Traded Concepts Trust, et al.; Notice of Application

Document Number: 2013-05758

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05758.html

Proposed Collection Comment Request

Document Number: 2013-05754

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05754.html

Submission for OMB Review Comment Request

Document Number: 2013-05753

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05753.html

Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations

Document Number: 2013-05751

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05751.html

Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV

Document Number: 2013-05749

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05749.html

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations

Document Number: 2013-05743

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05743.html

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 Schedule

Document Number: 2013-05742

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05742.html

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 Schedule

Document Number: 2013-05741

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05741.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: 2013-05740

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05740.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace the Current Mid-Point Test Applied to the Definition of Theoretical Price

Document Number: 2013-05735

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05735.html

Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fee Schedule Governing Order Routing

Document Number: 2013-05734

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05734.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend FINRA Rule 2267 (Investor Education and Protection)

Document Number: 2013-05719

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05719.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of the Newfleet Multi-Sector Income ETF Under NYSE Arca Equities Rule 8.600

Document Number: 2013-05717

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05717.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Inc. Fee Schedule To Increase the Gross FOCUS Fee

Document Number: 2013-05716

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05716.html

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Trading on BOX

Document Number: 2013-05715

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05715.html

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 Routing

Document Number: 2013-05714

Type: Notice

Date: 2013-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05714.html