<![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/2013/11/20?registers=between Thu, 22 May 2025 06:00:46 -0700 Thu, 22 May 2025 06:00:46 -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/2013/11/20?registers=between Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27763.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27763.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27763 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27763.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27762.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27762.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27762 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27762.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 Regarding the Entry and Execution of Zero Display Reserve Orders Marked “Sell Short” https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27761.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27761.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27761 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27761.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27760.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27760.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27760 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27760.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of a Pilot Program for SPY Position and Exercise Limits https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27759.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27759.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27759 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27759.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fourteen Month Extension of Pilot Program That Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust (“SPY”) Options https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27758.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27758.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27758 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27758.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rules 1302, 1304 and the MIAX Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27757.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27757.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27757 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27757.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27756.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27756.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27756 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27756.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Eliminate the e-DPM Program https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27755.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27755.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27755 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27755.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII With Respect To Execution and Routing of Orders in Securities Priced at $1 or More Per Share https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27754.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27754.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27754 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27754.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/2013/11/20/2013-27753.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27753.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27753 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27753.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/2013/11/20/2013-27752.html https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27752.html Wed, 20 Nov 2013 00:00:00 -0800 2013-27752 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27752.pdf