<![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/2013/04/10?registers=between Sat, 03 May 2025 12:17:14 -0700 Sat, 03 May 2025 12:17:14 -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/2013/04/10?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08430.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08430.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08430 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08430.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08427.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08427.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08427 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08427.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08385.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08385.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08385 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08385.pdf Notice - SEC Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08372.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08372.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08372 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08372.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08332.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08332.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08332 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08332.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Standard Options Transaction Fees https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08331.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08331.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08331 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08331.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Market Maker Peg Order Functionality https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08330.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08330.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08330 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08330.pdf Notice - Self-Regulatory Organizations; BATS-Y Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Market Maker Peg Order Functionality https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08329.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08329.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08329 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08329.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding Catastrophic Errors https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08328.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08328.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08328 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08328.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the International Bear ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08327.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08327.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08327 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08327.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices Market Data Products https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08326.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08326.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08326 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08326.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE Arca Trades and NYSE Arca Realtime Reference Prices Market Data Products https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08325.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08325.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08325 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08325.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Certain Fees for the NYSE Trades and NYSE Realtime Reference Prices Market Data Products https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08324.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08324.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08324 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08324.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Customer and Industry Codes of Arbitration Procedure To Revise the Public Arbitrator Definition https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08323.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08323.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08323 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08323.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rule 11.24, Limit Up/Limit Down https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08322.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08322.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08322 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08322.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000 https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08321.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08321.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08321 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08321.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 1000 https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08320.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08320.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08320 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08320.pdf Notice - TSC Distributors LLC and TSC UITS; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08319.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08319.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08319 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08319.pdf Notice - Royce Value Trust, Inc., et al.; https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08318.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08318.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08318 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08318.pdf Notice - Royce Focus Trust, Inc., et al.; https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08317.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08317.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08317 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08317.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on 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 Platform https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08308.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08308.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08308 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08308.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving 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 & Procedures https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08307.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08307.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08307 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08307.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice Filing 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 & Procedures https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08306.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08306.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08306 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08306.pdf Notice - Joint Industry Plan; Order Approving the Third 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. https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08249.html https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08249.html Wed, 10 Apr 2013 00:00:00 -0700 2013-08249 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08249.pdf