Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/01/23?limit=200&registers=between&mode=atom 2022-07-05T08:47:07-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2013/01/23/C1-2013-00201.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change To Amend Performance Evaluations With Respect to Quote Submissions of Streaming Quote Traders and Remote Streaming Quote Traders 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 C1-2013-00201 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/C1-2013-00201.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01398.html Notice - In the Matter of AlphaTrade.com; Order of Suspension of Trading 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01398 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01398.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01281.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 To Amend the Listing Rules for Compensation Committees To Comply With Rule 10C-1 Under the Act 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01281 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01281.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01269.html Rule - Lost Securityholders and Unresponsive Payees 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01269 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01269.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01245.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Record-Keeping and Substitution Listing Fees Payable by Companies Listed on Nasdaq 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01245 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01245.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01244.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Review of Delisting Determinations and Appeal of Panel Decisions 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01244 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01244.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01243.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Establish Optional TRACE Data Delivery Services and Related Fees 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01243 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01243.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01226.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Pricing Schedule 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01226 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01226.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01225.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change With Respect to INAV Pegged Orders for ETFs 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01225 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01225.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01224.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund Under NYSE Arca Equities Rule 5.2(j)(3) 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01224 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01224.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01223.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the U.S. Equity High Volatility Put Write Index Fund Under NYSE Arca Equities Rule 5.2(j)(3) 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01223 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01223.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01222.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the Newfleet Multi-Sector Income ETF Under NYSE Arca Equities Rule 8.600 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01222 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01222.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01221.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01221 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01221.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01220.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, To Amend the Listing Rules for Compensation Committees To Comply With Securities Exchange Act Rule 10-C-1 and Make Other Related Changes 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01220 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01220.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01202.html Rule - Authority Citation Correction 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01202 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01202.pdf https://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01058.html Rule - Adoption of Updated EDGAR Filer Manual 2013-01-23T00:00:00-08:00 2013-01-23T00:00:00-08:00 2013-01058 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01058.pdf