<![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/2013/12/30?registers=between Sat, 03 May 2025 07:45:58 -0700 Sat, 03 May 2025 07:45:58 -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/2013/12/30?registers=between Rule - Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31172.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31172.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31172 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31172.pdf Notice - Proposed Collection; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31138.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31138.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31138 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31138.pdf Notice - IndexIQ ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31137.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31137.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31137 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31137.pdf Notice - IndexIQ ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31136.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31136.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31136 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31136.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31135.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31135.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31135 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31135.pdf Notice - 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. 1 https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31134.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31134.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31134 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31134.pdf Notice - 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 Component https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31133.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31133.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31133 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31133.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31132.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31132.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31132 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31132.pdf Notice - 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 NMS https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31131.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31131.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31131 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31131.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31130.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31130.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31130 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31130.pdf Notice - 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 Overlays https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31129.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31129.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31129 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31129.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Exchange's By-Laws https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31128.html https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31128.html Mon, 30 Dec 2013 00:00:00 -0800 2013-31128 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31128.pdf