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/2013/08/01?limit=200&registers=between&mode=atom 2024-12-30T08:13:27-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18477.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC (the “parties”) Concerning Options-Related Sales Practice Matters 2013-08-01T00:00:00-07:00 2013-08-01T00:00:00-07:00 2013-18477 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18477.pdf https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18476.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Topaz Exchange, LLC 2013-08-01T00:00:00-07:00 2013-08-01T00:00:00-07:00 2013-18476 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18476.pdf https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18475.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC Concerning Options-Related Market Surveillance 2013-08-01T00:00:00-07:00 2013-08-01T00:00:00-07:00 2013-18475 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18475.pdf https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18474.html Notice - Application of Topaz Exchange, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission 2013-08-01T00:00:00-07:00 2013-08-01T00:00:00-07:00 2013-18474 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18474.pdf https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18472.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104-Equities, as Modified by Amendment Nos. 1, To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchanges' Rules Governing the Ability of DMMs To Provide Market Information to Floor Brokers, and To Make Conforming Amendments to Other Rules 2013-08-01T00:00:00-07:00 2013-08-01T00:00:00-07:00 2013-18472 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18472.pdf https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18471.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule With Respect to Cap on Fees for Firm and Broker Dealer Open Outcry Executions 2013-08-01T00:00:00-07:00 2013-08-01T00:00:00-07:00 2013-18471 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18471.pdf https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18470.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Participation on the Alternative Display Facility 2013-08-01T00:00:00-07:00 2013-08-01T00:00:00-07:00 2013-18470 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18470.pdf https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18468.html Rule - Delegation of Authority to Director of the Division of Enforcement 2013-08-01T00:00:00-07:00 2013-08-01T00:00:00-07:00 2013-18468 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18468.pdf