Securities and Exchange Commission November 1, 2013 – Federal Register Recent Federal Regulation Documents

Results 1 - 15 of 15
High End Ventures, Inc., Order of Suspension of Trading
Document Number: 2013-26317
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26317.html
Newtech Resources Ltd., Order of Suspension of Trading
Document Number: 2013-26316
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26316.html
In the Matter of Press Ventures, Inc.; Order of Suspension of Trading
Document Number: 2013-26293
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26293.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add Topaz Exchange, LLC as a Plan Sponsor
Document Number: 2013-26076
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26076.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add Miami International Securities Exchange, LLC (“MIAX”) as a Plan Sponsor
Document Number: 2013-26074
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26074.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add Topaz Exchange, LLC as a Participant
Document Number: 2013-26073
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26073.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add the Miami International Securities Exchange, LLC as a Participant
Document Number: 2013-26072
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26072.html
Cambria ETF Trust, et al.; Notice of Application
Document Number: 2013-26068
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26068.html
Medley Capital Corporation, et al.; Notice of Application
Document Number: 2013-26038
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26038.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2013-26037
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On August 30, 2013, applicant made a liquidating distribution to its shareholder, based on net asset value. Expenses of approximately $3,500 incurred in connection with the liquidation were paid by SEI Investments Management Corporation, applicant's investment adviser. Filing Date: The application was filed on September 27, 2013. Applicant's Address: One Freedom Valley Dr., Oaks, PA 19456.
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26037.html
Submission for OMB Review; Comment Request
Document Number: 2013-26036
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26036.html
Submission for OMB Review; Comment Request
Document Number: 2013-26035
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26035.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Concept of a “Responsible Person” on the CBOE Stock Exchange
Document Number: 2013-26034
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26034.html
Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Document Number: 2013-26033
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26033.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY to Specify That the Specialist Pool and Directed Order Market Makers Receive Execution Allocations of Incoming Electronic Complex Orders and Complex Order Auction Eligible Orders in Accordance With the Guaranteed Participation Provision of Rule 964NY(c)(2)(B), Without Any Exceptions
Document Number: 2013-26032
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26032.html
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