<![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/2013/09/05?registers=between Sun, 25 May 2025 13:37:55 -0700 Sun, 25 May 2025 13:37:55 -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/2013/09/05?registers=between Notice - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21580.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21580.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21580 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21580.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List To Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21574.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21574.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21574 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21574.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule and NYSE Arca Equities Fee Schedule To Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21573.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21573.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21573 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21573.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE MKT Equities Price List and NYSE Amex Options Fee Schedule To Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21572.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21572.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21572 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21572.pdf Notice - American General Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21562.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21562.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21562 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21562.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change in Order To Terminate the Sealed Envelope Service, Which Is Part of The Depository Trust Company's Custody Service https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21561.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21561.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21561 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21561.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Its Policy Statement Adopted Under Rule 205 Entitled “Back-up Communication Channel to Internet Access” https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21537.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21537.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21537 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21537.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21536.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21536.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21536 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21536.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Investments in Leveraged Loans by the Peritus High Yield ETF https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21535.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21535.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21535 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21535.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Account for Sections 1471 through 1474 of the U.S. Internal Revenue Code and U.S. Treasury Regulations and Other Guidance Thereunder (Commonly Known as the Foreign Account Tax Compliance Act or “FATCA”) https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21534.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21534.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21534 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21534.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of First Trust Inflation Managed Fund https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21533.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21533.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21533 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21533.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Regulatory Reporting of Swap Data https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21532.html https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21532.html Thu, 05 Sep 2013 00:00:00 -0700 2013-21532 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21532.pdf