<![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/2013/10/03?registers=between Sun, 04 May 2025 00:43:00 -0700 Sun, 04 May 2025 00:43:00 -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/2013/10/03?registers=between Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes to the Means of Achieving the Investment Objective Applicable to Shares of the PowerShares China A-Share Portfolio https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24263.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24263.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24263 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24263.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Amend the Definition of Retail Order in the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the Attestation Requirements for ETP Holders That Submit Retail Orders https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24249.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24249.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24249 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24249.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Its Acceptance of a New Series of Credit Default Swap Index Products https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24243.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24243.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24243 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24243.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24242.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24242.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24242 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24242.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF Port Fees https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24241.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24241.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24241 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24241.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Fees Assessed Under NASDAQ Rule 7034 for Certain Co-Location Services https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24240.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24240.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24240 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24240.pdf Notice - Stellus Capital Investment Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24239.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24239.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24239 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24239.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24222.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24222.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24222 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24222.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trading Halt Rule of BATS Options https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24165.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24165.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24165 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24165.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Data Revenue Rebates Program https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24164.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24164.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24164 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24164.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Inadvertent Omission in a Prior Rule Change Filing Related to the Definition of Hedge Clearing Member https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24163.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24163.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24163 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24163.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Decommission Its Trade Risk Pro Service https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24162.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24162.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24162 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24162.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503 https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24161.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24161.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24161 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24161.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24160.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24160.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24160 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24160.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24159.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24159.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24159 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24159.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBSX Rule 53.22 Related to CBSX Remote Market-Maker Appointments https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24158.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24158.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24158 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24158.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Certain Options Symbols https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24157.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24157.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24157 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24157.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NASDAQ Listing Standards Related to Compliance Determinations for Market Value of Listed Securities and Market Value of Publicly-Held Shares Deficiencies https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24156.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24156.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24156 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24156.pdf Proposed Rule - Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24048.html https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24048.html Thu, 03 Oct 2013 00:00:00 -0700 2013-24048 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24048.pdf