Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2013/11/19?limit=200®isters=between&mode=atom2025-05-04T04:59:26-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27807.htmlNotice - In The Matter of: Sovereign Lithium, Inc.; Order of Suspension of Trading2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27807.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27764.htmlNotice - Notice of Sunshine Act Meeting2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27764.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27667.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, As Modified By Amendment No. 1 Thereto, To List and Trade of Shares of the Market Vectors Short High-Yield Municipal Index ETF Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .022013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27667Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27667.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27632.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Customer Rebate2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27632.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27631.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BATS Competitive Liquidity Provider Program2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27631.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27630.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 957NY To Provide That a Pattern or Practice of Late Reporting of Option Transactions to the Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27630.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27629.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PIXL Auction Notification Requirements Under Rule 10802013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27629.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27628.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 504, Trading Halts2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27628.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27627.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.69(a) To Provide That a Pattern or Practice of Late Reporting of Option Transactions to the Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27627Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27627.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27626.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Modifications to Fees and Rebates Under Rules 7014 and 70182013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27626Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27626.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27625.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27625.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27624.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule To Specify the Frequency With Which the Exchange May Change the Options Regulatory Fee2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27624.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27623.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rules Regarding Option Orders That Are Tied to Stock Orders2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27623.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27622.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Market Maker Appointment Cost Rebalances2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27622.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27621.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .08 to Rule 6.4 To Modify the Quarterly Option Series Program To Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each QOS in Exchange-Traded Fund Options2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27621.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27620.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .09 to Rule 903 To Modify the Quarterly Option Series Program To Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each QOS in Exchange-Traded Fund Options2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27620Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27620.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27619.htmlNotice - 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.2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27619.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27618.htmlNotice - 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.2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27618Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27618.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27617.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Under Rule 7030(d) for Use of the Carteret NASDAQ Testing Facility Test Environment2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27617Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27617.pdf