<![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/2013/11/15?registers=between Sat, 03 May 2025 07:35:46 -0700 Sat, 03 May 2025 07:35:46 -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/2013/11/15?registers=between Notice - Dodd-Frank Investor Advisory Committee; Meeting https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27383.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27383.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27383 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27383.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27346.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27346.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27346 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27346.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standard No. 17, Auditing Supplemental Information Accompanying Audited Financial Statements and Related Amendments to PCAOB Standards https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27345.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27345.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27345 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27345.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Attestation Standard No. 1, Examination Engagements Regarding Compliance Reports of Brokers and Dealers, Attestation Standard No. 2, Review Engagements Regarding Exemption Reports of Brokers and Dealers, and Related Amendments to PCAOB Standards https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27344.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27344.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27344 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27344.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27327.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27327.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27327 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27327.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27326.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27326.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27326 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27326.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27325.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27325.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27325 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27325.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27324.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27324.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27324 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27324.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27323.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27323.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27323 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27323.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27322.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27322.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27322 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27322.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 3.5 (Advertising Practices) and To Repeal Rule 3.20 (Initial or Partial Payments) To Conform With the Rules of the Financial Industry Regulatory Authority, Inc. https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27321.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27321.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27321 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27321.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 3.5 (Advertising Practices) and To Repeal Rule 3.20 (Initial or Partial Payments) To Conform with the Rules of the Financial Industry Regulatory Authority, Inc. https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27320.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27320.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27320 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27320.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Amendment to the Amended and Restated Clearing and Services Agreement Between The Options Clearing Corporation and NYSE Liffe US LLC in Connection With NYSE Liffe US LLC's Transition to Electronic Vault Receipts https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27289.html https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27289.html Fri, 15 Nov 2013 00:00:00 -0800 2013-27289 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27289.pdf