<![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/2013/09/30?registers=between Sat, 03 May 2025 01:46:16 -0700 Sat, 03 May 2025 01:46:16 -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/2013/09/30?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23954.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23954.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23954 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23954.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Chapter XV, at Section 2 Governing Pricing for NASDAQ Members Using the NASDAQ Options Market (“NOM”) https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23729.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23729.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23729 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23729.pdf Notice - Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23696.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23696.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23696 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23696.pdf Notice - Variable Insurance Trust, et al.; https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23687.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23687.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23687 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23687.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Order To Implement the Upcoming Change to Friday Expiration Processing and Eventual Transition to Friday Expiration for All Monthly Expiration Contracts https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23686.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23686.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23686 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23686.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Listing Standard for Reverse Merger Companies Set Forth in Section 102.01F of The Exchange's Listed Company Manual to Harmonize With Nasdaq Stock Market Rules That Require the Timely Filing of All Required Reports for the Most Recent 12-Month Period https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23685.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23685.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23685 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23685.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change to Revise OCC By-Laws and Rules to Make Structural Changes to OCC's Membership/Risk Committee Regarding Public Directors and the Process for Designating Membership/Risk Committee Members https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23684.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23684.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23684 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23684.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23683.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23683.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23683 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23683.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Concerning the Mortgage-Backed Securities Division's Notification of Settlement Process https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23682.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23682.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23682 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23682.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Clarify the Classification and Reporting of Certain Securities to FINRA https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23681.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23681.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23681 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23681.pdf Rule - Extension of Temporary Registration of Municipal Advisors https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23519.html https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23519.html Mon, 30 Sep 2013 00:00:00 -0700 2013-23519 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23519.pdf