Securities and Exchange Commission November 5, 2013 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting

Document Number: 2013-26559

Type: Notice

Date: 2013-11-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26559.html

OFS Capital Corporation, et al.; Notice of Application

Document Number: 2013-26412

Type: Notice

Date: 2013-11-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26412.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to Participation on the Alternative Display Facility

Document Number: 2013-26411

Type: Notice

Date: 2013-11-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26411.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of PIMCO Diversified Income Exchange-Traded Fund, PIMCO Low Duration Exchange-Traded Fund and PIMCO Real Return Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600

Document Number: 2013-26410

Type: Notice

Date: 2013-11-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26410.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Franklin Short Duration U.S. Government ETF Under NYSE Arca Equities Rule 8.600

Document Number: 2013-26409

Type: Notice

Date: 2013-11-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26409.html

Securities Investor Protection Corporation

Document Number: 2013-26165

Type: Proposed Rule

Date: 2013-11-05

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities Investor Protection Corporation (``SIPC'') filed a proposed rule change with the Securities and Exchange Commission (``Commission''). The proposed rule change amends SIPC Rule 400, entitled ``Rules Relating to Satisfaction of Customer Claims for Standardized Options,'' which relates to the satisfaction of customer claims for standardized options under the Securities Investor Protection Act of 1970 (``SIPA''). The Commission is publishing the proposed rule change for public comment. Because SIPC rules have the force and effect as if promulgated by the Commission, those rules are published in Title 17 of the Code of Federal Regulations.

https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26165.html

Crowdfunding

Document Number: 2013-25355

Type: Proposed Rule

Date: 2013-11-05

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission is proposing for comment new Regulation Crowdfunding under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III of the Jumpstart Our Business Startups Act. Regulation Crowdfunding would prescribe rules governing the offer and sale of securities under new Section 4(a)(6) of the Securities Act of 1933. The proposal also would provide a framework for the regulation of registered funding portals and brokers that issuers are required to use as intermediaries in the offer and sale of securities in reliance on Section 4(a)(6). In addition, the proposal would exempt securities sold pursuant to Section 4(a)(6) from the registration requirements of Section 12(g) of the Securities Exchange Act of 1934.

https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-25355.html