<![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/2013/07/09?registers=between Fri, 02 May 2025 04:27:50 -0700 Fri, 02 May 2025 04:27:50 -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/2013/07/09?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16538.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16538.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16538 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16538.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Add Greater Specificity Related to the Applicable “Tier 3” Supplemental Liquidity Provider Rate and the Member Organization Tier 1 and Tier 2 Adding Credit Rates https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16480.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16480.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16480 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16480.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Modify the Credits for Certain Mid-Point Passive Liquidity Orders, Add Two New Tiers Applicable to Transactions in Tape B Securities, Add a Pricing Tier Applicable to Orders of ETP Holders for Tape A and Tape C Securities That Are Eligible To Be Routed Away From the Exchange, and Modify the Equity Threshold Applicable to the Cross-Asset Tier https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16479.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16479.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16479 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16479.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice To Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16477.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16477.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16477 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16477.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Acceptable Complex Execution Parameter https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16476.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16476.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16476 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16476.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16384.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16384.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16384 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16384.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 1012 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16383.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16383.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16383 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16383.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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/2013/07/09/2013-16382.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16382.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16382 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16382.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange Fee Schedule To Update and Clarify Certain Fees Assessed Under Section V (Technology Fees) https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16381.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16381.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16381 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16381.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16380.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16380.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16380 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16380.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection With OCC Cleared Over-the-Counter Options https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16379.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16379.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16379 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16379.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/2013/07/09/2013-16378.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16378.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16378 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16378.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 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/2013/07/09/2013-16377.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16377.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16377 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16377.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16376.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16376.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16376 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16376.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16367.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16367.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16367 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16367.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16366.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16366.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16366 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16366.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16365.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16365.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16365 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16365.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16364.html https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16364.html Tue, 09 Jul 2013 00:00:00 -0700 2013-16364 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16364.pdf