<![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/2013/10/22?registers=between Tue, 27 May 2025 17:45:57 -0700 Tue, 27 May 2025 17:45:57 -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/2013/10/22?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24776.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24776.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24776 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24776.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on The Trading Floor Due to the Unavailability of Exchange-Provided Cell Phones Beginning on October 10, 2013 Until the Earlier of When Cell Phone Service Is Restored or October 11, 2013 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24685.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24685.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24685 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24685.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Exchange-Provided Cell Phones Beginning on October 10, 2013 Until the Earlier of When Cell Phone Service Is Restored or October 11, 2013 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24684.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24684.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24684 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24684.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the Dedicated OUCH Port Infrastructure Service https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24683.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24683.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24683 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24683.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuing Education https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24682.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24682.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24682 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24682.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 3 to a Proposed Rule Change, as Previously Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24681.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24681.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24681 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24681.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24680.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24680.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24680 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24680.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 3 to Advance Notice, as Previously Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24678.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24678.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24678 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24678.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24677.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24677.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24677 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24677.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24676.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24676.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24676 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24676.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed for C2 Listed Options https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24675.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24675.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24675 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24675.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed for CBOE Listed Options https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24674.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24674.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24674 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24674.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24673.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24673.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24673 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24673.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24671.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24671.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24671 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24671.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24670.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24670.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24670 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24670.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Adopt Price Protection Filters for Electronic Complex Orders https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24669.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24669.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24669 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24669.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Require Alternative Trading Systems To Report Volume Information to FINRA and Use Unique Market Participant Identifiers https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24668.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24668.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24668 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24668.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Terminate the Sealed Envelope Service, Which Is Part of The Depository Trust Company's Custody Service https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24667.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24667.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24667 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24667.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Adopt Price Protection Filters for Electronic Complex Orders https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24666.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24666.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24666 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24666.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 8040 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24665.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24665.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24665 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24665.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying Rule 1014 Regarding Daily Quoting Obligations https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24664.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24664.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24664 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24664.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 3130 (Exemptions From Position Limits) https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24663.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24663.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24663 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24663.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24662.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24662.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24662 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24662.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24661.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24661.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24661 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24661.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretive Material to Rule 5050 and Rule 6090 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24660.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24660.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24660 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24660.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24659.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24659.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24659 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24659.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24658.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24658.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24658 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24658.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24657.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24657.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24657 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24657.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24656.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24656.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24656 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24656.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24655.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24655.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24655 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24655.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24654.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24654.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24654 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24654.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or Greater https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24653.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24653.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24653 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24653.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval to Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24649.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24649.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24649 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24649.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2-Equities To Specify That the Definition of An Approved Person Does Not Include a Governmental Entity and Amending Rule 304-Equities To Provide That if a Governmental Entity Directly or Indirectly Owns a Member Organization, Then the Member Organization Must Identify Such Governmental Entity to the Exchange https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24648.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24648.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24648 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24648.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2 To Specify That the Definition of an Approved Person Does Not Include a Governmental Entity and Amending Rule 304 To Provide That If a Governmental Entity Directly or Indirectly Owns a Member Organization, Then the Member Organization Must Identify Such Governmental Entity to The Exchange https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24647.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24647.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24647 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24647.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24646.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24646.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24646 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24646.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24645.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24645.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24645 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24645.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24644.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24644.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24644 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24644.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24643.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24643.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24643 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24643.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order To Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24642.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24642.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24642 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24642.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to PIM and Penny Pilot Periods https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24641.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24641.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24641 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24641.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Table of Contents of the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24640.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24640.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24640 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24640.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Options Floor Broker Management System https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24639.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24639.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24639 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24639.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual To Expand the Suite of Complimentary Products and Services That Are Offered to Certain Current and Newly Listed Companies https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24637.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24637.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24637 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24637.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt New Regulatory Fees Payable by Certain Listed Companies and Applicants https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24636.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24636.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24636 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24636.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions To Conform With the Rules of Other Self-Regulatory Organizations https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24635.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24635.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24635 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24635.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions To Conform With the Rules of Other Self-Regulatory Organizations https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24634.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24634.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24634 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24634.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the WisdomTree Bloomberg U.S. Dollar Bullish Fund, WisdomTree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24633.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24633.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24633 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24633.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in the Exchange's Rules Concerning Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24632.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24632.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24632.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection With OCC Cleared Over-the-Counter Options https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24631.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24631.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24631.pdf