Securities and Exchange Commission December 20, 2013 – Federal Register Recent Federal Regulation Documents

Results 1 - 13 of 13
In the Matter of the Enlightened Gourmet, Inc., Eternal Image, Inc., NMT Medical, Inc., and Wits Basin Precious Minerals, Inc.; Order of Suspension of Trading
Document Number: 2013-30474
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30474.html
Golden Elephant Glass Technology, Inc., and Pacific Alliance Corp.; Order of Suspension of Trading
Document Number: 2013-30473
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30473.html
Proposed Collection; Comment Request
Document Number: 2013-30274
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30274.html
Proposed Collection; Comment Request
Document Number: 2013-30273
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30273.html
Catalyst Capital Advisors LLC and Mutual Fund Series Trust; Notice of Application
Document Number: 2013-30272
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would permit them to enter into and materially amend subadvisory agreements without shareholder approval.
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30272.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 104 and 123C To Specify That Closings May Be Effectuated Manually or Electronically
Document Number: 2013-30271
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30271.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 104-Equities and 123C-Equities To Specify That Closings May Be Effectuated Manually or Electronically
Document Number: 2013-30270
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30270.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove References to the Nasdaq 100 Index
Document Number: 2013-30269
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30269.html
Self-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the Governance Committee Charter
Document Number: 2013-30268
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30268.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program
Document Number: 2013-30267
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30267.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Document Number: 2013-30266
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30266.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Relating to the Quarterly Option Series Program
Document Number: 2013-30265
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30265.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Short Term Option Series Program
Document Number: 2013-30264
Type: Notice
Date: 2013-12-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30264.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.