<![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/2013/03/13?registers=between Sun, 22 Dec 2024 00:04:29 -0800 Sun, 22 Dec 2024 00:04:29 -0800 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/2013/03/13?registers=between Notice - Blackstone Alternative Investment Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05759.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05759.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05759 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05759.pdf Notice - Exchange Traded Concepts Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05758.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05758.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05758 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05758.pdf Notice - Proposed Collection Comment Request https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05754.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05754.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05754 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05754.pdf Notice - Submission for OMB Review Comment Request https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05753.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05753.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05753 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05753.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05751.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05751.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05751 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05751.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05749.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05749.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05749 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05749.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05743.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05743.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05743 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05743.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05742.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05742.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05742 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05742.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05741.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05741.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05741 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05741.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05740.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05740.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05740 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05740.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05735.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05735.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05735 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05735.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05734.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05734.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05734 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05734.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05719.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05719.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05719 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05719.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05717.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05717.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05717 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05717.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05716.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05716.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05716 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05716.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05715.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05715.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05715 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05715.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05714.html https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05714.html Wed, 13 Mar 2013 00:00:00 -0700 2013-05714 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05714.pdf