<![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/2013/08/01?registers=between Wed, 21 May 2025 23:22:02 -0700 Wed, 21 May 2025 23:22:02 -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/2013/08/01?registers=between 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 https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18477.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18477.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18477 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18477.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18476.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18476.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18476 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18476.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18475.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18475.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18475 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18475.pdf Notice - Application of Topaz Exchange, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18474.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18474.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18474 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18474.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18472.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18472.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18472 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18472.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18471.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18471.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18471 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18471.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18470.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18470.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18470 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18470.pdf Rule - Delegation of Authority to Director of the Division of Enforcement https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18468.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18468.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18468 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18468.pdf