<![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/2013/11/01?registers=between Fri, 02 May 2025 11:45:03 -0700 Fri, 02 May 2025 11:45:03 -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/2013/11/01?registers=between Notice - High End Ventures, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26317.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26317.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26317 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26317.pdf Notice - Newtech Resources Ltd., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26316.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26316.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26316 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26316.pdf Notice - In the Matter of Press Ventures, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26293.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26293.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26293 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26293.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26076.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26076.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26076 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26076.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26074.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26074.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26074 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26074.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26073.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26073.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26073 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26073.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26072.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26072.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26072 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26072.pdf Notice - Cambria ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26068.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26068.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26068 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26068.pdf Notice - Medley Capital Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26038.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26038.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26038 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26038.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26037.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26037.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26037 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26037.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26036.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26036.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26036 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26036.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26035.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26035.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26035 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26035.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26034.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26034.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26034 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26034.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/2013/11/01/2013-26033.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26033.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26033 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26033.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26032.html https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26032.html Fri, 01 Nov 2013 00:00:00 -0700 2013-26032 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26032.pdf