<![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/2013/11/19?registers=between Thu, 12 Jun 2025 10:19:05 -0700 Thu, 12 Jun 2025 10:19:05 -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/2013/11/19?registers=between Notice - In The Matter of: Sovereign Lithium, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27807.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27807.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27807 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27807.pdf Notice - Notice of Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27764.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27764.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27764 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27764.pdf Notice - 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 .02 https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27667.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27667.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27667 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27667.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Customer Rebate https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27632.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27632.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27632.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BATS Competitive Liquidity Provider Program https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27631.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27631.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27631.pdf Notice - 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 Action https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27630.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27630.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27630 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27630.pdf Notice - 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 1080 https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27629.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27629.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27629.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 504, Trading Halts https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27628.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27628.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27628 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27628.pdf Notice - 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 Action https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27627.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27627.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27627 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27627.pdf Notice - 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 7018 https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27626.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27626.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27626 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27626.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27625.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27625.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27625 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27625.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27624.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27624.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27624 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27624.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27623.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27623.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27623 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27623.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Market Maker Appointment Cost Rebalances https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27622.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27622.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27622 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27622.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27621.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27621.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27621 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27621.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27620.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27620.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27620 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27620.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27619.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27619.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27619 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27619.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27618.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27618.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27618 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27618.pdf Notice - 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 Environment https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27617.html https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27617.html Tue, 19 Nov 2013 00:00:00 -0800 2013-27617 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27617.pdf