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/2013/10/02?limit=200&registers=between&mode=atom 2024-12-22T13:13:18-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24202.html Notice - In the Matter of China Ruitai International Holdings Co., Ltd.; Order of Suspension of Trading 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24202 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24202.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24024.html Notice - Guinness Atkinson Asset Management, Inc., et al.; Notice of Application 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24024 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24024.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24021.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend MSRB Rules G-8, G-11, and G-32 To Include Provisions Specifically Tailored for Retail Order Periods 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24021 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24021.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24020.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24020 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24020.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24019.html Notice - Joint Industry Plan; Order Approving 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. 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24019 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24019.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24018.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24018 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24018.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24017.html Notice - 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)(H) To Change The Required Advance Notice Period For Submitting Certain Notices to the Exchange 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24017 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24017.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24016.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24016 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24016.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24015.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposal To Amend Rule 24.7 To Add Factors for Determining Whether To Halt Volatility Index Options Trading 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24015 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24015.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24014.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Fee Schedule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24014 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24014.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24013.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24013 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24013.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24012.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to Securities Exchange Act Rule 19d-1(c)(2)) 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24012 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24012.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24011.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Regarding Calculation of the Mid-Point Passive Liquidity Order Tier 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24011 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24011.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24010.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128 and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4) 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24010 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24010.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24009.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 7.10 and Removing References to Individual Security Trading Pauses Contained in Rule 7.10(c)(4) 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24009 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24009.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24008.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128-Equities and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4)-Equities 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24008 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24008.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24007.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24007 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24007.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24006.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24006 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24006.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24005.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24005 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24005.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24004.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24004 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24004.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24003.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13, Clearly Erroneous Executions 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24003 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24003.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24002.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.13, Clearly Erroneous Executions 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24002 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24002.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24001.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24001 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24001.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24000.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX Clearly Erroneous Policy Pilot Program 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24000 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24000.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23999.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Message Types, Connectivity and Bandwidth Allowance 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-23999 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-23999.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23914.html Rule - Adoption of Updated EDGAR Filer Manual 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-23914 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-23914.pdf