<![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/2013/05?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 11:38:00 -0700 Thu, 02 May 2024 11:38:00 -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/2013/05?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meeting. https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13031.html https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13031.html Fri, 31 May 2013 00:00:00 -0700 2013-13031 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-13031.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13030.html https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13030.html Fri, 31 May 2013 00:00:00 -0700 2013-13030 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-13030.pdf Notice - Sunshine Act Meeting. https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13029.html https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13029.html Fri, 31 May 2013 00:00:00 -0700 2013-13029 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-13029.pdf Notice - Jupiter Enterprises, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12992.html https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12992.html Fri, 31 May 2013 00:00:00 -0700 2013-12992 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-12992.pdf Notice - China Properties Developments, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12991.html https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12991.html Fri, 31 May 2013 00:00:00 -0700 2013-12991 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-12991.pdf Notice - China Environmental Protection, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12989.html https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12989.html Fri, 31 May 2013 00:00:00 -0700 2013-12989 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-12989.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Add a Moving Average Check for Incoming Market Orders and Marketable Limit Orders https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12896.html https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12896.html Fri, 31 May 2013 00:00:00 -0700 2013-12896 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-12896.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed Rule Change To Amend MSRB Rule G-39, on Telemarketing https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12850.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12850.html Thu, 30 May 2013 00:00:00 -0700 2013-12850 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12850.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rules Regarding the Trading of XSP Options https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12847.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12847.html Thu, 30 May 2013 00:00:00 -0700 2013-12847 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12847.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of the First Trust Morningstar Futures Strategy Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12846.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12846.html Thu, 30 May 2013 00:00:00 -0700 2013-12846 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12846.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12821.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12821.html Thu, 30 May 2013 00:00:00 -0700 2013-12821 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12821.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Routing Option, MOPB, Under Rule 4758(a)(1)(A) https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12818.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12818.html Thu, 30 May 2013 00:00:00 -0700 2013-12818 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12818.pdf Notice - Collection of Information; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12798.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12798.html Thu, 30 May 2013 00:00:00 -0700 2013-12798 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12798.pdf Notice - ASA Gold and Precious Metals Limited; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12797.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12797.html Thu, 30 May 2013 00:00:00 -0700 2013-12797 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12797.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rule 6.42 https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12796.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12796.html Thu, 30 May 2013 00:00:00 -0700 2013-12796 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12796.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $0.50 and $1 Strike Price Intervals for Classes in the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12795.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12795.html Thu, 30 May 2013 00:00:00 -0700 2013-12795 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12795.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and To Make Related Clarifications to Rule Text https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12794.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12794.html Thu, 30 May 2013 00:00:00 -0700 2013-12794 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12794.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Disapprove 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/2013/05/30/2013-12725.html https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12725.html Thu, 30 May 2013 00:00:00 -0700 2013-12725 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12725.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, to Clear Contracts Traded on the LIFFE Administration and Management Market https://regulations.justia.com/regulations/fedreg/2013/05/29/2013-12704.html https://regulations.justia.com/regulations/fedreg/2013/05/29/2013-12704.html Wed, 29 May 2013 00:00:00 -0700 2013-12704 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-29/pdf/2013-12704.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, 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/2013/05/29/2013-12659.html https://regulations.justia.com/regulations/fedreg/2013/05/29/2013-12659.html Wed, 29 May 2013 00:00:00 -0700 2013-12659 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-29/pdf/2013-12659.pdf Notice - ProShares Advisors LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/29/2013-12637.html https://regulations.justia.com/regulations/fedreg/2013/05/29/2013-12637.html Wed, 29 May 2013 00:00:00 -0700 2013-12637 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-29/pdf/2013-12637.pdf Notice - Greatmat Technology Corp., Kentucky USA Energy, Inc., Solar Energy Ltd., and Visiphor Corp., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12677.html https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12677.html Tue, 28 May 2013 00:00:00 -0700 2013-12677 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12677.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish a Lead Market Maker Program on the NASDAQ OMX PSX Market and To Make Related Changes to the Schedule Fees and Rebates for Execution of Quotes and Orders https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12548.html https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12548.html Tue, 28 May 2013 00:00:00 -0700 2013-12548 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12548.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the EDGX Exchange, Inc.'s Routing Broker Dealer, as Described in EDGX Rule 2.12(b) https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12533.html https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12533.html Tue, 28 May 2013 00:00:00 -0700 2013-12533 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12533.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the EDGA Exchange, Inc.'s Routing Broker Dealer, as Described in EDGA Rule 2.12(b) https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12532.html https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12532.html Tue, 28 May 2013 00:00:00 -0700 2013-12532 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12532.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Board of Director Qualifications https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12486.html https://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12486.html Tue, 28 May 2013 00:00:00 -0700 2013-12486 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12486.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12629.html https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12629.html Fri, 24 May 2013 00:00:00 -0700 2013-12629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12629.pdf Notice - Bloggerwave, Inc., Cardima, Inc. (n/k/a CLI Liquidating Corporation), Innuity, Inc., Kaleidoscope Venture Capital, Inc., Lipid Sciences, Inc., Radix Marine, Inc., SBS Interactive Co., and VersaTech, Inc. (n/k/a VersaTech USA), Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12555.html https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12555.html Fri, 24 May 2013 00:00:00 -0700 2013-12555 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12555.pdf Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Order Granting Approval of Proposed Rule Change, Modified by Amendment No. 1, Amending Rule 6.87 In Part and Adding a New Section To Address Errors That Involve Complex Orders https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12438.html https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12438.html Fri, 24 May 2013 00:00:00 -0700 2013-12438 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12438.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3306 and Rule 3303 To Stipulate How Participants in NASDAQ OMX PSX May Modify Previously Entered Orders and To Describe How Modified Orders Are Processed https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12437.html https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12437.html Fri, 24 May 2013 00:00:00 -0700 2013-12437 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12437.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4751(f)(15) https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12407.html https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12407.html Fri, 24 May 2013 00:00:00 -0700 2013-12407 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12407.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 975NY In Part and Adding a New Section To Address Errors That Involve Complex Orders https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12405.html https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12405.html Fri, 24 May 2013 00:00:00 -0700 2013-12405 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12405.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Extension of Review Period of Advance Notice, as Modified by Amendment No. 1, 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/2013/05/24/2013-12404.html https://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12404.html Fri, 24 May 2013 00:00:00 -0700 2013-12404 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12404.pdf Proposed Rule - Regulation Systems Compliance and Integrity https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12289.html https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12289.html Thu, 23 May 2013 00:00:00 -0700 2013-12289 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-12289.pdf Notice - Frank Russell Company, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12268.html https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12268.html Thu, 23 May 2013 00:00:00 -0700 2013-12268 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-12268.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice To Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12267.html https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12267.html Thu, 23 May 2013 00:00:00 -0700 2013-12267 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-12267.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Include Options on Interest Rate Futures Contracts With Maturities Not Longer Than Two Years in the One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12266.html https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12266.html Thu, 23 May 2013 00:00:00 -0700 2013-12266 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-12266.pdf Proposed Rule - Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-10836.html https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-10836.html Thu, 23 May 2013 00:00:00 -0700 2013-10836 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-10836.pdf Proposed Rule - Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-10835.html https://regulations.justia.com/regulations/fedreg/2013/05/23/2013-10835.html Thu, 23 May 2013 00:00:00 -0700 2013-10835 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-10835.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program To Allow Cabinet Trading To Take Place Below $1 per Option Contract https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12189.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12189.html Wed, 22 May 2013 00:00:00 -0700 2013-12189 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12189.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Create a New Fee Structure for Complex Orders on the BOX Market LLC Options Facility https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12169.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12169.html Wed, 22 May 2013 00:00:00 -0700 2013-12169 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12169.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fee Schedule To Establish Fees for Jumbo SPY Option Transactions https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12168.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12168.html Wed, 22 May 2013 00:00:00 -0700 2013-12168 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12168.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Fees Related to Certain Corporate Action Events https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12167.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12167.html Wed, 22 May 2013 00:00:00 -0700 2013-12167 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12167.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Related to Portfolio Composition File Reporting in Addendum A of Its Rules and Procedures https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12166.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12166.html Wed, 22 May 2013 00:00:00 -0700 2013-12166 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12166.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accommodate the Use of Vault Receipts or Warehouse Depository Receipts in Electronic Form, Rather Than Vault Receipts or Warehouse Depository Receipts in Physical Form, To Represent the Metals Underlying Physically-Settled Futures Contracts on Metals Traded by NYSE Liffe US LLC https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12165.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12165.html Wed, 22 May 2013 00:00:00 -0700 2013-12165 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12165.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/2013/05/22/2013-12164.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12164.html Wed, 22 May 2013 00:00:00 -0700 2013-12164 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12164.pdf Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Eighteenth Charges Amendment To the Second Restatement of the CTA Plan and Tenth Charges Amendment To the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12163.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12163.html Wed, 22 May 2013 00:00:00 -0700 2013-12163 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12163.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade the International Bear ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12162.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12162.html Wed, 22 May 2013 00:00:00 -0700 2013-12162 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12162.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/2013/05/22/2013-12161.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12161.html Wed, 22 May 2013 00:00:00 -0700 2013-12161 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12161.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Proposing an Amendment to the Bylaws of Its Wholly-Owned Subsidiary, NYSE Regulation, Inc. (“NYSE Regulation”), To Eliminate a Requirement That Not Less Than Two Members of the Board of Directors of NYSE Regulation Must Qualify as “Fair Representation Candidates” https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12159.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12159.html Wed, 22 May 2013 00:00:00 -0700 2013-12159 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12159.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12150.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12150.html Wed, 22 May 2013 00:00:00 -0700 2013-12150 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12150.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12149.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12149.html Wed, 22 May 2013 00:00:00 -0700 2013-12149 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12149.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12148.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12148.html Wed, 22 May 2013 00:00:00 -0700 2013-12148 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12148.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12147.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12147.html Wed, 22 May 2013 00:00:00 -0700 2013-12147 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12147.pdf Notice - LocalShares Investment Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12146.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12146.html Wed, 22 May 2013 00:00:00 -0700 2013-12146 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12146.pdf Notice - Financial Investors Trust and Hanson McClain Strategic Advisors, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12144.html https://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12144.html Wed, 22 May 2013 00:00:00 -0700 2013-12144 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12144.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to Its Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12049.html https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12049.html Tue, 21 May 2013 00:00:00 -0700 2013-12049 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12049.pdf Notice - ALPS ETF Trust, et al.; https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12042.html https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12042.html Tue, 21 May 2013 00:00:00 -0700 2013-12042 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12042.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 29 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the 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., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, 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/2013/05/21/2013-12041.html https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12041.html Tue, 21 May 2013 00:00:00 -0700 2013-12041 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12041.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Options https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12040.html https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12040.html Tue, 21 May 2013 00:00:00 -0700 2013-12040 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12040.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12039.html https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12039.html Tue, 21 May 2013 00:00:00 -0700 2013-12039 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12039.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Listing Standards for Equity Index-Linked Securities in NYSE Arca Equities Rule 5.2(j)(6) https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12038.html https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12038.html Tue, 21 May 2013 00:00:00 -0700 2013-12038 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12038.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc ; Notice of Filing of Proposed Rule Change for Permanent Approval of a Pilot To Permit BX Options To Accept Inbound Options Orders From NASDAQ OMX PHLX LLC and NASDAQ Options Services LLC https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12035.html https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12035.html Tue, 21 May 2013 00:00:00 -0700 2013-12035 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12035.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-11921.html https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-11921.html Tue, 21 May 2013 00:00:00 -0700 2013-11921 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-11921.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-Time https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11918.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11918.html Mon, 20 May 2013 00:00:00 -0700 2013-11918 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11918.pdf Notice - Self-Regulatory Organizations; C2 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/2013/05/20/2013-11899.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11899.html Mon, 20 May 2013 00:00:00 -0700 2013-11899 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11899.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/2013/05/20/2013-11898.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11898.html Mon, 20 May 2013 00:00:00 -0700 2013-11898 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11898.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust Pursuant to NYSE Arca Equities Rule 8.200 https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11897.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11897.html Mon, 20 May 2013 00:00:00 -0700 2013-11897 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11897.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/2013/05/20/2013-11896.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11896.html Mon, 20 May 2013 00:00:00 -0700 2013-11896 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11896.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11894.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11894.html Mon, 20 May 2013 00:00:00 -0700 2013-11894 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11894.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11893.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11893.html Mon, 20 May 2013 00:00:00 -0700 2013-11893 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11893.pdf Notice - ERNY Financial ETF Trust and ERNY Financial Advisors, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11892.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11892.html Mon, 20 May 2013 00:00:00 -0700 2013-11892 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11892.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11891.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11891.html Mon, 20 May 2013 00:00:00 -0700 2013-11891 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11891.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11878.html https://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11878.html Mon, 20 May 2013 00:00:00 -0700 2013-11878 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11878.pdf Notice - Sunshine Act Meeting. https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11963.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11963.html Fri, 17 May 2013 00:00:00 -0700 2013-11963 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11963.pdf Notice - Avani International Group, Inc., Birch Mountain Resources Ltd., Capital Reserve Canada Ltd., Dynasty Gaming, Inc. (n/k/a Blue Zen Memorial Parks, Inc.), IXI Mobile, Inc., Laureate Resources & Steel Industries Inc., Millennium Energy Corp., Shannon International, Inc., and Welwind Energy International Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11917.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11917.html Fri, 17 May 2013 00:00:00 -0700 2013-11917 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11917.pdf Notice - Benda Pharmaceutical, Inc. and China Shuangjii Cement Ltd., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11916.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11916.html Fri, 17 May 2013 00:00:00 -0700 2013-11916 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11916.pdf Notice - In the Matter of Griffin Mining, Inc., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11915.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11915.html Fri, 17 May 2013 00:00:00 -0700 2013-11915 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11915.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11784.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11784.html Fri, 17 May 2013 00:00:00 -0700 2013-11784 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11784.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Pilot Restrictions From NASDAQ's Qualified Market Maker and NBBO Setter Incentive Programs, and To Make Other Changes to NASDAQ's Schedule of Fees and Credits https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11775.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11775.html Fri, 17 May 2013 00:00:00 -0700 2013-11775 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11775.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding an Expansion of CME Clearing's Category 3 Collateral Limits https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11760.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11760.html Fri, 17 May 2013 00:00:00 -0700 2013-11760 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11760.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Proposing To: (i) Delete the Sections in the Listed Company Manual (the “Manual”) Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials That Will Be Posted on the Exchange's Web Site; and (ii) Adopt as New Rules Certain Provisions That Are Currently Included in the Various Forms of Agreements That Are in the Manual, as Well as Some Additional New Rules That Make Explicit Existing Exchange Policies With Respect to Initial Listings https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11759.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11759.html Fri, 17 May 2013 00:00:00 -0700 2013-11759 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11759.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11758.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11758.html Fri, 17 May 2013 00:00:00 -0700 2013-11758 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11758.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 To Adopt a Modification in the Process for Initiating Trading of a Security That Is the Subject of a Trading Halt or Pause on NASDAQ https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11733.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11733.html Fri, 17 May 2013 00:00:00 -0700 2013-11733 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11733.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, To Require Members To Report OTC Equity Transactions as Soon as Practicable, But No Later Than 10 Seconds, Following Execution https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11714.html https://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11714.html Fri, 17 May 2013 00:00:00 -0700 2013-11714 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11714.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Complex Order Router Subsidy Program https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11676.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11676.html Thu, 16 May 2013 00:00:00 -0700 2013-11676 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11676.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options and Non-Penny Pilot Options https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11636.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11636.html Thu, 16 May 2013 00:00:00 -0700 2013-11636 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11636.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Arca Options Market Data https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11635.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11635.html Thu, 16 May 2013 00:00:00 -0700 2013-11635 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11635.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Amex Options Market Data https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11634.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11634.html Thu, 16 May 2013 00:00:00 -0700 2013-11634 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11634.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to Exchange Trading Days and Hours of Business and Trading Halts https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11625.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11625.html Thu, 16 May 2013 00:00:00 -0700 2013-11625 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11625.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11624.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11624.html Thu, 16 May 2013 00:00:00 -0700 2013-11624 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11624.pdf Notice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule Governing the Anti-Money Laundering Compliance Program https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11623.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11623.html Thu, 16 May 2013 00:00:00 -0700 2013-11623 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11623.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11622.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11622.html Thu, 16 May 2013 00:00:00 -0700 2013-11622 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11622.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11621.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11621.html Thu, 16 May 2013 00:00:00 -0700 2013-11621 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11621.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11620.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11620.html Thu, 16 May 2013 00:00:00 -0700 2013-11620 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11620.pdf Notice - CPG Carlyle Private Equity Fund, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11605.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11605.html Thu, 16 May 2013 00:00:00 -0700 2013-11605 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11605.pdf Notice - FS Investment Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11604.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11604.html Thu, 16 May 2013 00:00:00 -0700 2013-11604 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11604.pdf Notice - Self-Regulatory Organizations; The Depository Trusts Company; Notice of Filing and No Objection To Advance Notice To Renew Its Existing Credit Facility https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11603.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11603.html Thu, 16 May 2013 00:00:00 -0700 2013-11603 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11603.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and No Objection To Advance Notice To Renew Its Existing Credit Facility https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11597.html https://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11597.html Thu, 16 May 2013 00:00:00 -0700 2013-11597 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11597.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct BX Rule 2140(c) https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11558.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11558.html Wed, 15 May 2013 00:00:00 -0700 2013-11558 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11558.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Rules 5050, 7050, and 7240 https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11523.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11523.html Wed, 15 May 2013 00:00:00 -0700 2013-11523 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11523.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11521.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11521.html Wed, 15 May 2013 00:00:00 -0700 2013-11521 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11521.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Sections of the Exchange's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11520.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11520.html Wed, 15 May 2013 00:00:00 -0700 2013-11520 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11520.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees and Rebates Applicable to Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11519.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11519.html Wed, 15 May 2013 00:00:00 -0700 2013-11519 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11519.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11518.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11518.html Wed, 15 May 2013 00:00:00 -0700 2013-11518 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11518.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change Relating to Recovery and Resolution Arrangements https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11517.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11517.html Wed, 15 May 2013 00:00:00 -0700 2013-11517 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11517.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions) https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11508.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11508.html Wed, 15 May 2013 00:00:00 -0700 2013-11508 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11508.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend and Restate the Amended and Restated By-Laws of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11502.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11502.html Wed, 15 May 2013 00:00:00 -0700 2013-11502 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11502.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend and Restate the Amended and Restated By-Laws of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11500.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11500.html Wed, 15 May 2013 00:00:00 -0700 2013-11500 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11500.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Consolidate All CHX Order Types, Modifiers, and Related Terms Under One Rule and to Clarify the Basic Requirements of All Orders Sent to the Matching System https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11453.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11453.html Wed, 15 May 2013 00:00:00 -0700 2013-11453 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11453.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trading Permit Holder Business Continuity Plans https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11452.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11452.html Wed, 15 May 2013 00:00:00 -0700 2013-11452 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11452.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Delivery Procedures To Reflect the Clearing Relationship for ICE Futures Europe https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11407.html https://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11407.html Wed, 15 May 2013 00:00:00 -0700 2013-11407 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11407.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Exchange Rule 9.21 https://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11369.html https://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11369.html Tue, 14 May 2013 00:00:00 -0700 2013-11369 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11369.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/2013/05/14/2013-11368.html https://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11368.html Tue, 14 May 2013 00:00:00 -0700 2013-11368 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11368.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Fees Assessed Under Rule 7015(h) https://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11367.html https://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11367.html Tue, 14 May 2013 00:00:00 -0700 2013-11367 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11367.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Add Provisions to the By-Laws To Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members https://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11366.html https://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11366.html Tue, 14 May 2013 00:00:00 -0700 2013-11366 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11366.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.74A https://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11359.html https://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11359.html Tue, 14 May 2013 00:00:00 -0700 2013-11359 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11359.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/05/13/2013-11358.html https://regulations.justia.com/regulations/fedreg/2013/05/13/2013-11358.html Mon, 13 May 2013 00:00:00 -0700 2013-11358 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-13/pdf/2013-11358.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11(a)(6)(C) To Add Inside Limit Orders as Eligible for Repricing Instructions https://regulations.justia.com/regulations/fedreg/2013/05/13/2013-11224.html https://regulations.justia.com/regulations/fedreg/2013/05/13/2013-11224.html Mon, 13 May 2013 00:00:00 -0700 2013-11224 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-13/pdf/2013-11224.pdf Notice - Order of Suspension of Trading in the Matter of CoreCare Systems, Inc., Forticell Bioscience, Inc., Michelex Corporation, and Rx for Africa, Inc. https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11238.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11238.html Fri, 10 May 2013 00:00:00 -0700 2013-11238 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11238.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Amex Options Proprietary Market Data Fees https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11176.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11176.html Fri, 10 May 2013 00:00:00 -0700 2013-11176 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11176.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend BX Rule 4756 and Rule 4763 To Stipulate How Participants in the NASDAQ OMX BX Equities Market May Modify Previously Entered Orders and To Describe How Modified Orders Are Processed https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11175.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11175.html Fri, 10 May 2013 00:00:00 -0700 2013-11175 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11175.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Arca Options Proprietary Market Data Fees https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11174.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11174.html Fri, 10 May 2013 00:00:00 -0700 2013-11174 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11174.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More Under Rule 7018 https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11173.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11173.html Fri, 10 May 2013 00:00:00 -0700 2013-11173 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11173.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Adopt a New Order Type Called the “Auto-Ex Only” Order and Add New Definitions Regarding Automatic Execution Mode and Automatic Execution Orders https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11172.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11172.html Fri, 10 May 2013 00:00:00 -0700 2013-11172 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11172.pdf Notice - Forum Investment Advisors, LLC, et al.; https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11146.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11146.html Fri, 10 May 2013 00:00:00 -0700 2013-11146 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11146.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASDAQ Rule 4763 https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11145.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11145.html Fri, 10 May 2013 00:00:00 -0700 2013-11145 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11145.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Priority Customer Size https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11141.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11141.html Fri, 10 May 2013 00:00:00 -0700 2013-11141 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11141.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7170 (Obvious and Catastrophic Errors) https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11140.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11140.html Fri, 10 May 2013 00:00:00 -0700 2013-11140 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11140.pdf Notice - Credit Ratings Roundtable https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11082.html https://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11082.html Fri, 10 May 2013 00:00:00 -0700 2013-11082 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11082.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products (“ETPs”) Listed on the Exchange https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11019.html https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11019.html Thu, 09 May 2013 00:00:00 -0700 2013-11019 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11019.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/2013/05/09/2013-11018.html https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11018.html Thu, 09 May 2013 00:00:00 -0700 2013-11018 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11018.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/2013/05/09/2013-11017.html https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11017.html Thu, 09 May 2013 00:00:00 -0700 2013-11017 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11017.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C-Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That “Substantially All” Orders Submitted to the Retail Liquidity Program Will Qualify as “Retail Orders” https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11004.html https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11004.html Thu, 09 May 2013 00:00:00 -0700 2013-11004 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11004.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Provide for the Manner in Which Mini Options Will Trade as a Complex Order Pursuant to BOX Rule 7240 https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11003.html https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11003.html Thu, 09 May 2013 00:00:00 -0700 2013-11003 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11003.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Granting Approval of Proposed Rule Change To List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11002.html https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11002.html Thu, 09 May 2013 00:00:00 -0700 2013-11002 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11002.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Remote Streaming Quote Trader Fees and Reference a Remote Streaming Quote Trader Organization https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11001.html https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11001.html Thu, 09 May 2013 00:00:00 -0700 2013-11001 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11001.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow All Lead Market Makers To Receive Directed Orders https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11000.html https://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11000.html Thu, 09 May 2013 00:00:00 -0700 2013-11000 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11000.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services To Amend Step Up Tier 2 to Reduce the Volume Threshold Requirements Needed To Be Eligible for The Tier https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10902.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10902.html Wed, 08 May 2013 00:00:00 -0700 2013-10902 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10902.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10901.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10901.html Wed, 08 May 2013 00:00:00 -0700 2013-10901 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10901.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Expand the Availability of Self-Trade Prevention Modifiers https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10900.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10900.html Wed, 08 May 2013 00:00:00 -0700 2013-10900 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10900.pdf Notice - Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10890.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10890.html Wed, 08 May 2013 00:00:00 -0700 2013-10890 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10890.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trading Ahead of Customer Orders and Best Execution and Interpositioning Requirements https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10876.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10876.html Wed, 08 May 2013 00:00:00 -0700 2013-10876 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10876.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Application and Initiation Fees in Certain Circumstances https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10875.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10875.html Wed, 08 May 2013 00:00:00 -0700 2013-10875 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10875.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit NOM To Accept Inbound Options Orders From NASDAQ OMX BX, Inc. https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10874.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10874.html Wed, 08 May 2013 00:00:00 -0700 2013-10874 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10874.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change for the Permanent Approval of the Exchange's Pilot Program To Permit the Exchange To Accept Inbound Options Orders Routed by Nasdaq Options Services LLC From NASDAQ OMX BX, Inc. https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10873.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10873.html Wed, 08 May 2013 00:00:00 -0700 2013-10873 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10873.pdf Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Proposed Rule Change in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA) https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10871.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10871.html Wed, 08 May 2013 00:00:00 -0700 2013-10871 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10871.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA) https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10848.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10848.html Wed, 08 May 2013 00:00:00 -0700 2013-10848 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10848.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA) https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10847.html https://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10847.html Wed, 08 May 2013 00:00:00 -0700 2013-10847 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10847.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10936.html https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10936.html Tue, 07 May 2013 00:00:00 -0700 2013-10936 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10936.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fingerprint-Based Background Checks of Exchange Directors, Officers, Employees and Others https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10799.html https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10799.html Tue, 07 May 2013 00:00:00 -0700 2013-10799 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10799.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule To Modify the Existing Floor Broker Rebate for Executed Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10742.html https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10742.html Tue, 07 May 2013 00:00:00 -0700 2013-10742 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10742.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Fee Schedule for Firms To Increase the Transaction Fee for Certain Proprietary Electronic Executions and To Introduce Volume-Based Tiers for Certain Proprietary Electronic Executions https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10741.html https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10741.html Tue, 07 May 2013 00:00:00 -0700 2013-10741 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10741.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Raise the Take Liquidity Fee for Firm and Broker Dealer Electronic Executions in Penny Pilot Issues https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10740.html https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10740.html Tue, 07 May 2013 00:00:00 -0700 2013-10740 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10740.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/2013/05/07/2013-10704.html https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10704.html Tue, 07 May 2013 00:00:00 -0700 2013-10704 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10704.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/2013/05/07/2013-10703.html https://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10703.html Tue, 07 May 2013 00:00:00 -0700 2013-10703 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10703.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10849.html https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10849.html Mon, 06 May 2013 00:00:00 -0700 2013-10849 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10849.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10628.html https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10628.html Mon, 06 May 2013 00:00:00 -0700 2013-10628 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10628.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Chicago Board Options Exchange, Incorporated Relating to Fees for the BBO Data Feed for Securities Traded on the CBOE Stock Exchange; Correction https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10627.html https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10627.html Mon, 06 May 2013 00:00:00 -0700 2013-10627 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10627.pdf Notice - Beverly Hills Bancorp Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10607.html https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10607.html Mon, 06 May 2013 00:00:00 -0700 2013-10607 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10607.pdf Notice - Goldman Sachs Trust II, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10606.html https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10606.html Mon, 06 May 2013 00:00:00 -0700 2013-10606 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10606.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10605.html https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10605.html Mon, 06 May 2013 00:00:00 -0700 2013-10605 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10605.pdf Notice - Notice of an Application of W2007 Grace Acquisition I, Inc. Under Section 12(h) of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10564.html https://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10564.html Mon, 06 May 2013 00:00:00 -0700 2013-10564 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10564.pdf Notice - In the Matter of Biopharm Asia, Inc., China Organic Agriculture, Inc., and Guilin Paper, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/05/03/C1-2013-09635.html https://regulations.justia.com/regulations/fedreg/2013/05/03/C1-2013-09635.html Fri, 03 May 2013 00:00:00 -0700 C1-2013-09635 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-03/pdf/C1-2013-09635.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Include Options on Interest Rate Futures Contracts With Maturities Not Longer Than Two Years In The One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC https://regulations.justia.com/regulations/fedreg/2013/05/03/2013-10508.html https://regulations.justia.com/regulations/fedreg/2013/05/03/2013-10508.html Fri, 03 May 2013 00:00:00 -0700 2013-10508 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-03/pdf/2013-10508.pdf Notice - Notice of Applications for Deregistration Under the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2013/05/03/2013-10483.html https://regulations.justia.com/regulations/fedreg/2013/05/03/2013-10483.html Fri, 03 May 2013 00:00:00 -0700 2013-10483 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-03/pdf/2013-10483.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change To Enhance the Functionality Offered on the Options Floor Broker Management System (“FBMS”) by, Among Other Things, Automating Functions Currently Performed by Floor Brokers https://regulations.justia.com/regulations/fedreg/2013/05/03/2013-10445.html https://regulations.justia.com/regulations/fedreg/2013/05/03/2013-10445.html Fri, 03 May 2013 00:00:00 -0700 2013-10445 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-03/pdf/2013-10445.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Rule 6.74(b) That Sets Forth Expired SizeQuote Mechanism Pilot Program https://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10353.html https://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10353.html Thu, 02 May 2013 00:00:00 -0700 2013-10353 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10353.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Strategy Fee Caps https://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10352.html https://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10352.html Thu, 02 May 2013 00:00:00 -0700 2013-10352 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10352.pdf Notice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Section 3.5 of the OPRA Plan https://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10351.html https://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10351.html Thu, 02 May 2013 00:00:00 -0700 2013-10351 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10351.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change To Amend the Obvious and Catastrophic Errors Rule https://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10346.html https://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10346.html Thu, 02 May 2013 00:00:00 -0700 2013-10346 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10346.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a 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/2013/05/02/2013-10345.html https://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10345.html Thu, 02 May 2013 00:00:00 -0700 2013-10345 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10345.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10355.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10355.html Wed, 01 May 2013 00:00:00 -0700 2013-10355 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10355.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limits for Options on iShares MSCI Emerging Markets Index Fund https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10302.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10302.html Wed, 01 May 2013 00:00:00 -0700 2013-10302 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10302.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend C2 Rule 6.52 https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10279.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10279.html Wed, 01 May 2013 00:00:00 -0700 2013-10279 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10279.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and To Make Related Clarifications to Rule Text https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10278.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10278.html Wed, 01 May 2013 00:00:00 -0700 2013-10278 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10278.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and To Make Related Clarifications to Rule Text https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10277.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10277.html Wed, 01 May 2013 00:00:00 -0700 2013-10277 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10277.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto To Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10240.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10240.html Wed, 01 May 2013 00:00:00 -0700 2013-10240 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10240.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, 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/2013/05/01/2013-10239.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10239.html Wed, 01 May 2013 00:00:00 -0700 2013-10239 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10239.pdf Notice - Corporate Capital Trust, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10238.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10238.html Wed, 01 May 2013 00:00:00 -0700 2013-10238 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10238.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Attestation Requirement of Rule 4780 To Allow a Retail Member Organization To Attest That “Substantially All” Orders Submitted to the Retail Price Improvement Program Will Qualify as “Retail Orders” https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10237.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10237.html Wed, 01 May 2013 00:00:00 -0700 2013-10237 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10237.pdf Notice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Revise Usage-Based Vendor Fees https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10236.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10236.html Wed, 01 May 2013 00:00:00 -0700 2013-10236 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10236.pdf Notice - Order Making Fiscal Year 2013 Annual Adjustments to Transaction Fee Rates https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10194.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10194.html Wed, 01 May 2013 00:00:00 -0700 2013-10194 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10194.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 Clarifying the Exchange's Treatment of Discretionary Orders That Have Discretionary Prices Outside of the Limit Up-Limit Down Price Bands https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10177.html https://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10177.html Wed, 01 May 2013 00:00:00 -0700 2013-10177 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10177.pdf