Securities and Exchange Commission August 2013 – Federal Register Recent Federal Regulation Documents

Results 51 - 100 of 164
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Non-Penny Pilot Option Rebate To Add Liquidity
Document Number: 2013-20099
Type: Notice
Date: 2013-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20099.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-Location Services and Expand Co-Location Services To Provide for a 40 Gigabit Liquidity Center Network Connection
Document Number: 2013-20070
Type: Notice
Date: 2013-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20070.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx Connectivity Options and Fees
Document Number: 2013-20069
Type: Notice
Date: 2013-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20069.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-Location Services and Expand Co-Location Services To Provide for a 40 Gigabit Liquidity Center Network Connection
Document Number: 2013-20068
Type: Notice
Date: 2013-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20068.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .10 to Rule 903 To Modify the Short-Term Option Series Program To Increase the Number of Classes That Are Eligible To Participate in the Program From Five to 30
Document Number: 2013-20067
Type: Notice
Date: 2013-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20067.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 6.4 To Modify the Short-Term Option Series Program To Increase the Number of Classes That Are Eligible To Participate in the Program From Five to 30
Document Number: 2013-20066
Type: Notice
Date: 2013-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20066.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Document Number: 2013-20065
Type: Notice
Date: 2013-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20065.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Competitive Liquidity Provider Program
Document Number: 2013-20064
Type: Notice
Date: 2013-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20064.html
CNC Development, Ltd., Exousia Advanced Materials, Inc., and South American Minerals, Inc.; Order of Suspension of Trading
Document Number: 2013-20104
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20104.html
AIMS Worldwide, Inc., Apollo Capital Group, Inc., CommunitySouth Financial Corp., Last Mile Logistics Group, Inc., Made in America Entertainment, Inc., and Millenia Hope, Inc.; Order of Suspension of Trading
Document Number: 2013-20103
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20103.html
Altus Pharmaceuticals, Inc., Blackhawk Capital Group BDC, Inc., Cargo Connection Logistics Holding, Inc., Diapulse Corporation of America, Globus International Resources Corp., Kingston Systems, Inc., and Mega Media Group, Inc.; Order of Suspension of Trading
Document Number: 2013-20102
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20102.html
Soil Biogenics Ltd., File No. 500-1; Order of Suspension of Trading
Document Number: 2013-20101
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20101.html
iVoice, Inc., Protectus Medical Devices, Inc., and St. Lawrence Energy Corp.; Order of Suspension of Trading
Document Number: 2013-20100
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20100.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.5 To Outline the Continuing Education Requirements for Series 56 Licensees and Its Fee Schedule To Include Fees for the Series 56 Examination and Its Related Continuing Education Requirements
Document Number: 2013-19910
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19910.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.5 To Outline the Continuing Education Requirements for Series 56 Licensees and Its Fee Schedule To Include Fees for the Series 56 Examination and Its Related Continuing Education Requirements
Document Number: 2013-19909
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19909.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX Connectivity Options and Fees
Document Number: 2013-19908
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19908.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA Under the Exchange's Authority and Supervision
Document Number: 2013-19907
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19907.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change To Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA Under the Exchange's Authority and Supervision
Document Number: 2013-19906
Type: Notice
Date: 2013-08-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19906.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.03 of the Listed Company Manual To Specify How the Initial Application Fee Is Treated for Certain Issuers That Do Not Immediately List a Security for Which They Already Paid an Initial Application Fee
Document Number: 2013-19783
Type: Notice
Date: 2013-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/15/2013-19783.html
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
Document Number: 2013-19741
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19741.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Document Number: 2013-19740
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19740.html
Special Opportunities Fund, Inc.; Notice of Application
Document Number: 2013-19693
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19693.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Document Number: 2013-19692
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19692.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Exchange's Routable Order Program
Document Number: 2013-19691
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19691.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Options Floor Broker Management System Until the End of September 2013
Document Number: 2013-19673
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19673.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Jumbo SPY Option Transactions
Document Number: 2013-19672
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19672.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule To Amend Rule 24.7 To Add Facts for Determining Whether To Halt Volatility Index Options Trading
Document Number: 2013-19671
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19671.html
Proposed Collection; Comment Request
Document Number: 2013-19670
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19670.html
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
Document Number: 2013-19669
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19669.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Document Number: 2013-19668
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19668.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Subscription Fee for New Subscribers to Latency Optics for a Limited Period
Document Number: 2013-19667
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19667.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 1015 Regarding Accommodation Claims
Document Number: 2013-19666
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19666.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule
Document Number: 2013-19665
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19665.html
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
Document Number: 2013-19664
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19664.html
Order Temporarily Exempting Certain Broker-Dealers and Certain Transactions From the Recordkeeping and Reporting Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934
Document Number: 2013-19650
Type: Notice
Date: 2013-08-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19650.html
Proposed Collection; Comment Request
Document Number: 2013-19516
Type: Notice
Date: 2013-08-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19516.html
Proposed Collection; Comment Request
Document Number: 2013-19515
Type: Notice
Date: 2013-08-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19515.html
Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Single-Sided Order Fees and Credits and the Order Cancellation Fee; Correction
Document Number: 2013-19514
Type: Notice
Date: 2013-08-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published a document in the Federal Register of July 8, 2013 concerning a Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Single- Sided Order Fees and Credits and the Order Cancellation Fee. The document was dated incorrectly.
https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19514.html
Proposed Collection; Comment Request
Document Number: 2013-19513
Type: Notice
Date: 2013-08-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19513.html
Proposed Collection; Comment Request
Document Number: 2013-19512
Type: Notice
Date: 2013-08-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19512.html
Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change Relating To Which Complex Orders Can Initiate a Complex Order Live Auction; Correction
Document Number: 2013-19511
Type: Notice
Date: 2013-08-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published a document in the Federal Register of June 27, 2013 concerning a Notice of Filing of Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction. The document was dated incorrectly.
https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19511.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Related to Market Maker Risk Parameters and Complex Orders
Document Number: 2013-19510
Type: Notice
Date: 2013-08-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19510.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2))
Document Number: 2013-19509
Type: Notice
Date: 2013-08-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19509.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Connectivity Options and Fees
Document Number: 2013-19508
Type: Notice
Date: 2013-08-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19508.html
Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order
Document Number: 2013-19409
Type: Notice
Date: 2013-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19409.html
Submission for OMB Review; Comment Request
Document Number: 2013-19407
Type: Notice
Date: 2013-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19407.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i) To Specify the Procedures To Be Followed if a Listed Derivative Securities Product or a Listed Structured Product Is Based on an Index or Portfolio of Securities and Such Index or Portfolio Is Modified or Replaced
Document Number: 2013-19406
Type: Notice
Date: 2013-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19406.html
Submission for OMB Review; Comment Request
Document Number: 2013-19405
Type: Notice
Date: 2013-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19405.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Message To Contracts Traded Ratio Fee in the NYSE Amex Options Fee Schedule
Document Number: 2013-19404
Type: Notice
Date: 2013-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19404.html
Aspiriant Global Equity Trust and Aspiriant, LLC; Notice of Application
Document Number: 2013-19267
Type: Notice
Date: 2013-08-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19267.html
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