<![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/2013/03/15?registers=between Fri, 02 May 2025 20:23:25 -0700 Fri, 02 May 2025 20:23:25 -0700 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/2013/03/15?registers=between Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 To NYSE Arca Options Rule 6.72 To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013 https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-06045.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-06045.html Fri, 15 Mar 2013 00:00:00 -0700 2013-06045 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-06045.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013 https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-06044.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-06044.html Fri, 15 Mar 2013 00:00:00 -0700 2013-06044 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-06044.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Add Two Self-Trade Prevention Modifiers That May Be Used by Certain Market Participants https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05986.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05986.html Fri, 15 Mar 2013 00:00:00 -0700 2013-05986 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05986.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List To Increase the Gross FOCUS Fee https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05985.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05985.html Fri, 15 Mar 2013 00:00:00 -0700 2013-05985 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05985.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention (“STP”) Modifiers That May Be Used by Certain Market Participants https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05984.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05984.html Fri, 15 Mar 2013 00:00:00 -0700 2013-05984 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05984.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Maximum Time Afforded to a Market Maker To Meet Its Market Making Obligations Upon Rejoining the Market After an Excused Withdrawal Under Rule 4619 https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05983.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05983.html Fri, 15 Mar 2013 00:00:00 -0700 2013-05983 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05983.pdf Notice - AIP Series Trust and Morgan Stanley AIP GP LP; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05982.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05982.html Fri, 15 Mar 2013 00:00:00 -0700 2013-05982 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05982.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05981.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05981.html Fri, 15 Mar 2013 00:00:00 -0700 2013-05981 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05981.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05980.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05980.html Fri, 15 Mar 2013 00:00:00 -0700 2013-05980 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05980.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05979.html https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05979.html Fri, 15 Mar 2013 00:00:00 -0700 2013-05979 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05979.pdf