<![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/2013/09/03?registers=between Sat, 24 May 2025 16:33:08 -0700 Sat, 24 May 2025 16:33:08 -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/2013/09/03?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21412.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21412.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21412 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21412.pdf Notice - Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21348.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21348.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21348 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21348.pdf Notice - Investment Company Act Release No. 30679; File No. 812-14167 https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21347.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21347.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21347 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21347.pdf Notice - Joint Industry Plan; Notice of Filing of the Fifth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21302.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21302.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21302 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21302.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fourth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21301.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21301.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21301 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21301.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection-Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21300.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21300.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21300 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21300.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Trading Information and Rule Clarity to Phlx Participants https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21299.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21299.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21299 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21299.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 910 and Related Phlx Rules https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21298.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21298.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21298 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21298.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7026 https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21297.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21297.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21297 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21297.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 16 Examination Program https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21296.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21296.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21296 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21296.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Revenue Sharing Program https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21295.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21295.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21295 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21295.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21294.html https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21294.html Tue, 03 Sep 2013 00:00:00 -0700 2013-21294 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21294.pdf