Securities and Exchange Commission 2013 – Federal Register Recent Federal Regulation Documents

Results 1,201 - 1,250 of 2,207
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1000 To Revise the Manner by Which the Exchange Will Phase Out the Functionality Associated With Liquidity Replenishment Points in Connection With the Implementation of the Limit Up-Limit Down Plan
Document Number: 2013-13656
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13656.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update a Reference in Rule 8.51
Document Number: 2013-13655
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13655.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until January 5, 2014
Document Number: 2013-13653
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13653.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place At A Price That Is Below $1 per Option Contract Until January 5, 2014
Document Number: 2013-13652
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13652.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Change the Monthly Fees for Option Trading Permits and Raise the Fee Cap that Applies to Certain Firm and Broker Dealer Open Outcry Executions
Document Number: 2013-13638
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13638.html
Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Adopt a Directed Order Process
Document Number: 2013-13630
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13630.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 605 Regarding Orders in a Market Maker's Appointed Classes
Document Number: 2013-13607
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13607.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 520 To Clarify the Description of the Operation of the Exchange's Route Timer
Document Number: 2013-13606
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13606.html
First Trust Exchange-Traded Fund, et al.; Notice of Application
Document Number: 2013-13551
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13551.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Typographical Errors in Respect of the Treasury Securities Options
Document Number: 2013-13522
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13522.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of Proposed Rule Change To Modify the Allocation of Directed Orders in Specific Limited Situations
Document Number: 2013-13508
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13508.html
KP Funds, et al.; Notice of Application
Document Number: 2013-13507
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: The requested order would (a) permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies and unit investment trusts (``UITs'') that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments.
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13507.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2013-13506
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant seeks an order declaring that it has ceased to be an investment company. The applicants transferred their assets to Oppenheimer Global Strategic Income Fund and, on September 21, 2012, and October 5, 2012, respectively, made final distributions to their shareholders based on net asset value. Expenses of $133,210 and $37,920, respectively, incurred in connection with the reorganizations were paid by each applicant. Filing Date: The applications were filed on April 23, 2013. Applicants' Address: 6803 S. Tucson Way, Centennial, CO 80112.
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13506.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2013-13505
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13505.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Fees and Rebates
Document Number: 2013-13391
Type: Notice
Date: 2013-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/06/2013-13391.html
Proposed Collection; Comment Request
Document Number: 2013-13383
Type: Notice
Date: 2013-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/06/2013-13383.html
Order of Suspension of Trading
Document Number: 2013-13382
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13382.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 980NY, To Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg
Document Number: 2013-13287
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13287.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Document Number: 2013-13286
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13286.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Document Number: 2013-13285
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13285.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment Nos. 1 and 2 and Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rule 6.53(u)
Document Number: 2013-13277
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13277.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.91 To Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg
Document Number: 2013-13276
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13276.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Permit Fees and Other Floor Fees
Document Number: 2013-13275
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13275.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Apply a Strategy Fee Cap to Jelly Rolls
Document Number: 2013-13274
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13274.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change in Connection With the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
Document Number: 2013-13273
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13273.html
Sunshine Act Meeting
Document Number: 2013-13245
Type: Notice
Date: 2013-06-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13245.html
Proposed Collection; Comment Request
Document Number: 2013-13191
Type: Notice
Date: 2013-06-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13191.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing of Additional Strikes Until the Close of Trading on the Second Business Day Prior to Expiration in Unusual Market Conditions
Document Number: 2013-13152
Type: Notice
Date: 2013-06-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13152.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Option Series Program
Document Number: 2013-13146
Type: Notice
Date: 2013-06-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13146.html
Submission for OMB Review; Comment Request
Document Number: 2013-13126
Type: Notice
Date: 2013-06-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13126.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund
Document Number: 2013-13110
Type: Notice
Date: 2013-06-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13110.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division
Document Number: 2013-13108
Type: Notice
Date: 2013-06-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13108.html
Lanbo Financial Group, Inc.; Order of Suspension of Trading
Document Number: 2013-13157
Type: Notice
Date: 2013-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13157.html
Sunshine Act Meetings
Document Number: 2013-13111
Type: Notice
Date: 2013-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13111.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval to Proposed Rule Change Amending the Attestation Requirement of Rule 11.24 Allowing a Retail Member Organization To Attest That “Substantially All” Orders Submitted to The Retail Price Improvement Program Will Qualify As “Retail Orders”
Document Number: 2013-13036
Type: Notice
Date: 2013-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13036.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Options Rule 6.62(cc) To Remove References to Functionality Described as the Post No Preference Light Only Quotation
Document Number: 2013-13035
Type: Notice
Date: 2013-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13035.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide That OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts to Account for Certain Events, Such as Certain Dividend Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest
Document Number: 2013-12975
Type: Notice
Date: 2013-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-12975.html
Sunshine Act Meeting.
Document Number: 2013-13031
Type: Notice
Date: 2013-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13031.html
Sunshine Act Meeting
Document Number: 2013-13030
Type: Notice
Date: 2013-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13030.html
Sunshine Act Meeting.
Document Number: 2013-13029
Type: Notice
Date: 2013-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13029.html
Jupiter Enterprises, Inc., Order of Suspension of Trading
Document Number: 2013-12992
Type: Notice
Date: 2013-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12992.html
China Properties Developments, Inc.; Order of Suspension of Trading
Document Number: 2013-12991
Type: Notice
Date: 2013-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12991.html
China Environmental Protection, Inc., Order of Suspension of Trading
Document Number: 2013-12989
Type: Notice
Date: 2013-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12989.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Add a Moving Average Check for Incoming Market Orders and Marketable Limit Orders
Document Number: 2013-12896
Type: Notice
Date: 2013-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12896.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed Rule Change To Amend MSRB Rule G-39, on Telemarketing
Document Number: 2013-12850
Type: Notice
Date: 2013-05-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12850.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rules Regarding the Trading of XSP Options
Document Number: 2013-12847
Type: Notice
Date: 2013-05-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12847.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of the First Trust Morningstar Futures Strategy Fund Under NYSE Arca Equities Rule 8.600
Document Number: 2013-12846
Type: Notice
Date: 2013-05-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12846.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio Under NYSE Arca Equities Rule 8.600
Document Number: 2013-12821
Type: Notice
Date: 2013-05-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12821.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Routing Option, MOPB, Under Rule 4758(a)(1)(A)
Document Number: 2013-12818
Type: Notice
Date: 2013-05-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12818.html
Collection of Information; Comment Request
Document Number: 2013-12798
Type: Notice
Date: 2013-05-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12798.html
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