<![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/2013/12/03?registers=between Sat, 03 May 2025 22:21:48 -0700 Sat, 03 May 2025 22:21:48 -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/2013/12/03?registers=between Notice - Arrow Investment Advisors, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28849.html https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28849.html Tue, 03 Dec 2013 00:00:00 -0800 2013-28849 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-03/pdf/2013-28849.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Match Trade Prevention Modifier for Limit and Market Orders Submitted to the Exchange https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28848.html https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28848.html Tue, 03 Dec 2013 00:00:00 -0800 2013-28848 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-03/pdf/2013-28848.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Changes to OCC's By-Laws and Rules in Connection with the Modification of the Individual Registration Categories of the Investment Industry Regulatory Organization of Canada https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28847.html https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28847.html Tue, 03 Dec 2013 00:00:00 -0800 2013-28847 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-03/pdf/2013-28847.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide Its Members With a Risk Management Tool That Would Enable Members To Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits are Reached https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28846.html https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28846.html Tue, 03 Dec 2013 00:00:00 -0800 2013-28846 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-03/pdf/2013-28846.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify a Level 2 Subscriber Fee https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28845.html https://regulations.justia.com/regulations/fedreg/2013/12/03/2013-28845.html Tue, 03 Dec 2013 00:00:00 -0800 2013-28845 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-03/pdf/2013-28845.pdf