<![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/2013/07/01?registers=between Thu, 22 May 2025 03:17:29 -0700 Thu, 22 May 2025 03:17:29 -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/2013/07/01?registers=between Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Rule 4630 to Remove a Restriction on a Member Acting as a Registered Market Maker in a Commodity-Related Security https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15701.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15701.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15701 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15701.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $1 https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15700.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15700.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15700 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15700.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Requirements of the Competitive Liquidity Provider Program https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15697.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15697.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15697 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15697.pdf Notice - Norstra Energy Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15668.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15668.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15668 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15668.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer and Establish Fees for a New Exchange Service, EdgeRisk Gateways https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15664.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15664.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15664 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15664.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer and Establish Fees for a New Exchange Service, EdgeRisk Gateways https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15662.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15662.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15662 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15662.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Footnote 4 of the Exchange's Fee Schedule Regarding Retail Orders https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15661.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15661.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15661 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15661.pdf Notice - ACS Wireless, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15658.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15658.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15658 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15658.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc. https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15632.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15632.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15632.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc. https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15631.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15631.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15631.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc. https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15630.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15630.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15630 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15630.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Members' Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities) https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15629.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15629.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15629.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing to List and Trade Units of the First Trust Gold Trust Pursuant to NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15627.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15627.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15627 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15627.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Third Party Market Data Delivered by NASDAQ https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15624.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15624.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15624 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15624.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval To Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15623.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15623.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15623 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15623.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretive Material to Rule 7150 (Price Improvement Period “PIP”) to Extend a Pilot Program that Permits the Exchange to Have no Minimum Size Requirement for Orders Entered into the PIP (“PIP Pilot Program”) https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15622.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15622.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15622 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15622.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish an Acceptable Trade Range for Orders and Quotes on PHLX XL https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15616.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15616.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15616 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15616.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section B of Exchange's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15615.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15615.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15615 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15615.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15614.html https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15614.html Mon, 01 Jul 2013 00:00:00 -0700 2013-15614 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15614.pdf