<![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/2013/07/03?registers=between Thu, 12 Jun 2025 02:57:58 -0700 Thu, 12 Jun 2025 02:57:58 -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/2013/07/03?registers=between Notice - Charles Schwab Investment Management, Inc., et al.; https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-16025.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-16025.html Wed, 03 Jul 2013 00:00:00 -0700 2013-16025 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-16025.pdf Notice - ProShare Advisors LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-16024.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-16024.html Wed, 03 Jul 2013 00:00:00 -0700 2013-16024 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-16024.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 3 and Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3 Thereto, To Clear Contracts Traded on the LIFFE Administration and Management Market https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15999.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15999.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15999 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15999.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval to Proposed Rule Change Amending and Restating the Amended and Restated By-Laws of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15936.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15936.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15936 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15936.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval to Proposed Rule Change Amending and Restating the Amended and Restated By-Laws of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15935.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15935.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15935 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15935.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.91 To Modify the Information Disseminated at the Initiation of a Complex Order Auction https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15934.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15934.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15934 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15934.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 980NY To Modify the Information Disseminated at the Initiation of a Complex Order Auction https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15933.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15933.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15933 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15933.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 to Automatically Prevent Entry of Zero Display Reserve Orders Marked “Sell Short” https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15932.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15932.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15932 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15932.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross (“Cross”) https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15931.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15931.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15931 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15931.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize and Clarify Language Within the DTC Service Guides Regarding Restrictions on Use of Information and Data Distributed by DTC https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15930.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15930.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15930 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15930.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a Connectivity Option Through Points of Presence https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15929.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15929.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15929 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15929.pdf Notice - Order Pursuant to Section 17A of the Securities Exchange Act of 1934 Granting Exemption From the Clearing Agency Registration Requirement Under Section 17A(b) of the Exchange Act for ICE Clear Europe Limited in Connection With Its Proposal To Clear Contracts Traded on the LIFFE Administration and Management Market https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15927.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15927.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15927 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15927.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extending the AIM Pilot Program https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15918.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15918.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15918 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15918.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extending AIM Pilot Programs https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15917.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15917.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15917 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15917.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving 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/2013/07/03/2013-15916.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15916.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15916 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15916.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a 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/2013/07/03/2013-15915.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15915.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15915 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15915.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a 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/2013/07/03/2013-15914.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15914.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15914 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15914.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on 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/2013/07/03/2013-15913.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15913.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15913 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15913.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.5(c), NBBO Offset Peg Order https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15912.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15912.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15912 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15912.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5(c), NBBO Offset Peg Order https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15911.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15911.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15911 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15911.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company (“DTC”); Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Fee Associated With the Expansion of DTC's Ability To Collect and Pass Through Fees Owed by Participants to American Depositary Receipt Agents https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15897.html https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15897.html Wed, 03 Jul 2013 00:00:00 -0700 2013-15897 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15897.pdf