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/2013/12/30?limit=200®isters=between&mode=atom2024-12-22T23:11:32-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31172.htmlRule - Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31172Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31172.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31138.htmlNotice - Proposed Collection; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213.2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31138.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31137.htmlNotice - IndexIQ ETF Trust, et al.; Notice of Application2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31137.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31136.htmlNotice - IndexIQ ETF Trust, et al.; Notice of Application2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31136.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31135.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31135.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31134.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook, as Modified by Amendment No. 12013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31134.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31133.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Its Rules Regarding Option Orders That Include a Stock Component2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31133.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31132.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31132.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31131.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval to Proposed Rule Change To Establish a Retail Liquidity Program on a Pilot Basis for a Period of One Year From the Date of Implementation and Granting Request for a Limited Exemption From Rule 612 of Regulation NMS2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31131.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31130.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104-Equities, Each as Modified by an Amendment No. 1, To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchanges' Rules Governing the Ability of DMMs To Provide Market Information to Floor Brokers, and To Make Conforming Amendments to Other Rules2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31130.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31129.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Options Execution Algorithm With Priority Overlays2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31129.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31128.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Exchange's By-Laws2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31128.pdf