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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2022-05-20T06:09:51-07:00 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/2013/01/31/2013-02073.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Establish a New Optional Wireless Connectivity for Colocated Clients 2013-01-31T00:00:00-08:00 2013-01-31T00:00:00-08:00 2013-02073 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-31/pdf/2013-02073.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01993.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend Member Liability for Payment Obligations to the Clearing House 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01993 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01993.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01984.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01984 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01984.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01983.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for EdgeBook AttributedSM 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01983 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01983.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01982.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for EdgeBook AttributedSM 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01982 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01982.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01971.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(7) To Permit PL Select Orders To Interact With Incoming Orders Larger Than the Size of the PL Select Order 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01971 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01971.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01970.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Adopt MIAX Rule 319 Relating to Proxy Voting 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01970 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01970.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01969.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Routing Fees 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01969 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01969.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01938.html Notice - Proposed Collection; Comment Request 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01938 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01938.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01937.html Notice - Proposed Collection; Comment Request 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01937 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01937.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01936.html Notice - Proposed Collection; Comment Request 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01936 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01936.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01935.html Notice - Submission for OMB Review; Comment Request 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01935 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01935.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01934.html Notice - Proposed Collection; Comment Request 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01934 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01934.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01933.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 440B To Provide How the Trigger Price Will Be Calculated if Trading Is Interrupted Because of a Systems or Technical Issue and Is Not Restored During the Trading Day 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01933 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01933.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01932.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5710 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01932 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01932.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01931.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01931 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01931.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01930.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01930 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01930.pdf https://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01929.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Accommodate Certain Physically-Settled Options on U.S. Treasury Securities 2013-01-30T00:00:00-08:00 2013-01-30T00:00:00-08:00 2013-01929 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01929.pdf https://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01964.html Notice - In the Matter of Largo Vista Group, Ltd., Montavo, Inc., OBN Holdings, Inc., PrepaYd, Inc., Ready Welder Corp., and Snowdon Resources Corp.; Order of Suspension of Trading 2013-01-29T00:00:00-08:00 2013-01-29T00:00:00-08:00 2013-01964 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01964.pdf https://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01963.html Notice - Order of Suspension of Trading; In the Matter of Law Enforcement Associates Corp., Matrixx Resource Holdings, Inc., Mortgage Assistance Center Corp., Sino Shipping Holdings, Inc., Sonnen Corp., Superior Oil & Gas Co., Tekoil & Gas Corp., Trend Mining Co., and Unico, Inc. 2013-01-29T00:00:00-08:00 2013-01-29T00:00:00-08:00 2013-01963 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01963.pdf https://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01962.html Notice - Order of Suspension of Trading; In the Matter of Medis Technologies Ltd., Modern Medical Modalities Corp., National Datacomputer, Inc., New Media Lottery Services, Inc., Sino-Bon Entertainment, Inc., Tamir Biotechnology, Inc., and Techmedia Advertising, Inc., 2013-01-29T00:00:00-08:00 2013-01-29T00:00:00-08:00 2013-01962 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01962.pdf https://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01960.html Notice - Sunshine Act Meeting 2013-01-29T00:00:00-08:00 2013-01-29T00:00:00-08:00 2013-01960 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01960.pdf https://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01841.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule 2013-01-29T00:00:00-08:00 2013-01-29T00:00:00-08:00 2013-01841 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01841.pdf https://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01840.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Allow Retail Liquidity Providers To Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP Is Not Assigned 2013-01-29T00:00:00-08:00 2013-01-29T00:00:00-08:00 2013-01840 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01840.pdf https://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01839.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 107C To Allow Retail Liquidity Providers To Enter Retail Price Improvement Orders in a Non-RLP Capacity for Securities to Which the RLP Is Not Assigned 2013-01-29T00:00:00-08:00 2013-01-29T00:00:00-08:00 2013-01839 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01839.pdf https://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01811.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the Horizons S&P 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF Under NYSE Arca Equities Rule 5.2(j)(3) 2013-01-29T00:00:00-08:00 2013-01-29T00:00:00-08:00 2013-01811 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01811.pdf https://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01810.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Rule 4626-Limitation of Liability 2013-01-29T00:00:00-08:00 2013-01-29T00:00:00-08:00 2013-01810 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01810.pdf https://regulations.justia.com/regulations/fedreg/2013/01/28/2013-01714.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service Is Fully Restored or Friday, February 15, 2013 2013-01-28T00:00:00-08:00 2013-01-28T00:00:00-08:00 2013-01714 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-28/pdf/2013-01714.pdf https://regulations.justia.com/regulations/fedreg/2013/01/28/2013-01713.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service Is Fully Restored or Friday, February 15, 2013 2013-01-28T00:00:00-08:00 2013-01-28T00:00:00-08:00 2013-01713 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-28/pdf/2013-01713.pdf https://regulations.justia.com/regulations/fedreg/2013/01/28/2013-01644.html Notice - Symetra Life Insurance Company, et al.; Notice of Application 2013-01-28T00:00:00-08:00 2013-01-28T00:00:00-08:00 2013-01644 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-28/pdf/2013-01644.pdf https://regulations.justia.com/regulations/fedreg/2013/01/28/2013-01643.html Notice - Securian Funds Trust, et al.; Notice of Application 2013-01-28T00:00:00-08:00 2013-01-28T00:00:00-08:00 2013-01643 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-28/pdf/2013-01643.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01496.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01496 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01496.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01495.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements) 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01495 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01495.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01494.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 2267 (Investor Education and Protection) 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01494 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01494.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01493.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01493 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01493.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01492.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01492 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01492.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01491.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the BBO Data Feed for C2 Listed Options 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01491 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01491.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01490.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the BBO Data Feed for CBOE Listed Options and a BBO Data Feed for Flexible Exchange Options 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01490 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01490.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01489.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01489 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01489.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01488.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish the Retail Price Improvement Program on a Pilot Basis Until 12 Months From the Date of Implementation 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01488 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01488.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01487.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Obvious and Catastrophic Error Rule 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01487 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01487.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01486.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date of FINRA Rule 5350 (Stop Orders) 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01486 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01486.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01485.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Preferred Market-Makers' Continuous Quoting Obligation 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01485 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01485.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01484.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing Advance Notice To Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01484 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01484.pdf https://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01483.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Exchange Rules 507 and 1014 To Establish Remote Streaming Quote Trader Organizations 2013-01-25T00:00:00-08:00 2013-01-25T00:00:00-08:00 2013-01483 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01483.pdf https://regulations.justia.com/regulations/fedreg/2013/01/24/2013-01376.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for the Payment of Exchange Fees Through an Integrated Billing Process 2013-01-24T00:00:00-08:00 2013-01-24T00:00:00-08:00 2013-01376 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-24/pdf/2013-01376.pdf https://regulations.justia.com/regulations/fedreg/2013/01/24/2013-01375.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules That Are Modeled on the Rules of the Financial Industry Regulatory Authority and To Make Certain Conforming and Technical Changes 2013-01-24T00:00:00-08:00 2013-01-24T00:00:00-08:00 2013-01375 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-24/pdf/2013-01375.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01271.html Notice - Sunshine Act Meeting 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01271 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01271.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01270.html Notice - Sunshine Act Meeting 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01270 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01270.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01247.html Notice - Order of Suspension of Trading; in the Matter of Medex, Inc. 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01247 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01247.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01173.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program That Provides an Exception to NYSE Rule 2B by Permitting the Exchange's Equity Ownership Interest in BIDS Holdings L.P. 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01173 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01173.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01114.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01114 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01114.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01113.html Notice - Proposed Collection; Comment Request 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01113 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01113.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01112.html Notice - Proposed Collection; Comment Request 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01112 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01112.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01111.html Notice - Proposed Collection; Comment Request 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01111 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01111.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01110.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 3, and Order Granting Accelerated Approval of 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 10C-1 and Make Other Related Changes 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01110 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01110.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01109.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Approving a Proposed Rule Change To Amend the Listing Rules for Compensation Committees To Comply with Securities Exchange Act Rule 10C-1 and Make Other Related Changes 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01109 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01109.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01108.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated 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 and Make Other Related Changes 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01108 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01108.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01107.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 To Amend the Listing Rules for Compensation Committees To Comply With Rule 10C-1 Under the Act and Make Other Related Changes 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01107 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01107.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01106.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Amend the Listing Rules for Compensation Committees To Comply With Securities Exchange Act Rule 10C-1 and Make Other Related Changes 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01106 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01106.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01105.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Listing Rules for Compensation Comply With Securities Exchange Act Rule 10C-1 and Make Other Related Changes 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01105 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01105.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01104.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval for Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Amend the Listing Rules for Compensation Committees To Comply With Securities Exchange Act Rule 10C-1 and Make Other Related Changes 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01104 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01104.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01078.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of Certain Securities 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01078 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01078.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01077.html Notice - Options Price Reporting Authority; Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Section 3.5 of the OPRA Plan 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01077 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01077.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01076.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Operative Date of Recent Changes Made to Rules 4613(a)(2)(F) and (G), and Rule 4751(f)(15) 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01076 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01076.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01075.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Its Price With Respect to Regulatory Fees Related to the Continuing Education Regulatory Element, Certain Examinations and Central Registration Depository, Which Are Collected By the Financial Industry Regulatory Authority, Inc. 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01075 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01075.pdf https://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01053.html Proposed Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers 2013-01-22T00:00:00-08:00 2013-01-22T00:00:00-08:00 2013-01053 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01053.pdf https://regulations.justia.com/regulations/fedreg/2013/01/18/2013-01151.html Notice - Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp.; Order of Suspension of Trading 2013-01-18T00:00:00-08:00 2013-01-18T00:00:00-08:00 2013-01151 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-01151.pdf https://regulations.justia.com/regulations/fedreg/2013/01/18/2013-01027.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Fee Schedule Relating to Port Charges 2013-01-18T00:00:00-08:00 2013-01-18T00:00:00-08:00 2013-01027 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-01027.pdf https://regulations.justia.com/regulations/fedreg/2013/01/18/2013-01026.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Fees Assessed for Certain Co-location Services 2013-01-18T00:00:00-08:00 2013-01-18T00:00:00-08:00 2013-01026 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-01026.pdf https://regulations.justia.com/regulations/fedreg/2013/01/18/2013-00969.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws 2013-01-18T00:00:00-08:00 2013-01-18T00:00:00-08:00 2013-00969 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-00969.pdf https://regulations.justia.com/regulations/fedreg/2013/01/18/2013-00968.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acquisition of the Kansas City Board of Trade Clearing Corporation 2013-01-18T00:00:00-08:00 2013-01-18T00:00:00-08:00 2013-00968 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-00968.pdf https://regulations.justia.com/regulations/fedreg/2013/01/18/2013-00967.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule 2013-01-18T00:00:00-08:00 2013-01-18T00:00:00-08:00 2013-00967 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-00967.pdf https://regulations.justia.com/regulations/fedreg/2013/01/18/2013-00966.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act 2013-01-18T00:00:00-08:00 2013-01-18T00:00:00-08:00 2013-00966 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-00966.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00975.html Notice - Sunshine Act Meeting 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00975 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00975.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00922.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify an Optional Historical Research and Administrative Report Fee and Related NASDAQ Rule 7022 Revisions 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00922 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00922.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00876.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed Rule Change Amending the Listed Company Manual Section 204.00 To Create a Uniform Method for a Company To Provide Notice to the Exchange When Required Pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and To Make Conforming Changes 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00876 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00876.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00875.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Minor Rule Violations 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00875 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00875.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00874.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Customer and Industry Codes of Arbitration Procedure To Revise the Public Arbitrator Definition 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00874 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00874.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00873.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00873 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00873.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00872.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List With Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected by the Financial Industry Regulatory Authority, Inc. 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00872 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00872.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00871.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving Proposed Rule Change To Establish “Benchmark Orders” Under NASDAQ Rule 4751(f) 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00871 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00871.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00870.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00870 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00870.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00869.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify NASDAQ's Order Execution Rebates and Investor Support Program 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00869 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00869.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00868.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce Fees Assessed for Certain Co-Location Services 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00868 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00868.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00867.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Co-Location Services 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00867 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00867.pdf https://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00772.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Eliminate the Offset of Its Obligations With Institutional Delivery Transactions That Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures 2013-01-17T00:00:00-08:00 2013-01-17T00:00:00-08:00 2013-00772 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00772.pdf https://regulations.justia.com/regulations/fedreg/2013/01/16/C1-2012-31464.html Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc. 2013-01-16T00:00:00-08:00 2013-01-16T00:00:00-08:00 C1-2012-31464 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/C1-2012-31464.pdf https://regulations.justia.com/regulations/fedreg/2013/01/16/C1-2012-31463.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Its By-Laws and Rules Consistent With Recent System Changes to the Stock Loan/Hedge Program and Market Loan Program and Delete Certain Terms and Provisions No Longer Applicable 2013-01-16T00:00:00-08:00 2013-01-16T00:00:00-08:00 C1-2012-31463 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/C1-2012-31463.pdf https://regulations.justia.com/regulations/fedreg/2013/01/16/C1-2012-31462.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2013-01-16T00:00:00-08:00 2013-01-16T00:00:00-08:00 C1-2012-31462 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/C1-2012-31462.pdf https://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00796.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change to Amend BATS Rule 14.11, Entitled “Other Securities,” and To List and Trade Shares of Certain ProShares Products 2013-01-16T00:00:00-08:00 2013-01-16T00:00:00-08:00 2013-00796 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00796.pdf https://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00795.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1 Thereto, in Connection With a Proposed Change To Enter Into an Unsecured, Committed Credit Agreement 2013-01-16T00:00:00-08:00 2013-01-16T00:00:00-08:00 2013-00795 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00795.pdf https://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00791.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Latency Optics Add-on Service to QView 2013-01-16T00:00:00-08:00 2013-01-16T00:00:00-08:00 2013-00791 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00791.pdf https://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00790.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of Proposed Rule Change Proposing a Pilot Program To Create a Lead Market Maker Issuer Incentive Program for Issuers of Certain Exchange-Traded Products Listed on NYSE Arca, Inc. 2013-01-16T00:00:00-08:00 2013-01-16T00:00:00-08:00 2013-00790 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00790.pdf https://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00789.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Codify in the CBOE Stock Exchange Rules a Cross Order Type Tied to a Related Derivative Component 2013-01-16T00:00:00-08:00 2013-01-16T00:00:00-08:00 2013-00789 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00789.pdf https://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00771.html Notice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Exchange Rules and Fee Schedule Relating to Annual Listing Maintenance Fees 2013-01-16T00:00:00-08:00 2013-01-16T00:00:00-08:00 2013-00771 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00771.pdf https://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00681.html Notice - Exchange Traded Spreads Trust, et al.; Notice of Application 2013-01-15T00:00:00-08:00 2013-01-15T00:00:00-08:00 2013-00681 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00681.pdf https://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00679.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Increasing the Fees Paid by Participants in the Exchange's Medallion Signature Program From $1,000 per Year to $1,300 per Year 2013-01-15T00:00:00-08:00 2013-01-15T00:00:00-08:00 2013-00679 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00679.pdf https://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00663.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee and Rebate Schedule 2013-01-15T00:00:00-08:00 2013-01-15T00:00:00-08:00 2013-00663 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00663.pdf https://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00662.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Routing Fee 2013-01-15T00:00:00-08:00 2013-01-15T00:00:00-08:00 2013-00662 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00662.pdf https://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00660.html Notice - J.P. Morgan Securities LLC, et al.; Notice of Application and Temporary Order 2013-01-15T00:00:00-08:00 2013-01-15T00:00:00-08:00 2013-00660 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00660.pdf https://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00634.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC Notice; of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options 2013-01-15T00:00:00-08:00 2013-01-15T00:00:00-08:00 2013-00634 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00634.pdf https://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00633.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-01-15T00:00:00-08:00 2013-01-15T00:00:00-08:00 2013-00633 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00633.pdf https://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00610.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 5.5.04 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions 2013-01-15T00:00:00-08:00 2013-01-15T00:00:00-08:00 2013-00610 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00610.pdf https://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00609.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Clarify the Use of Certain Amounts Credited to the Liquidating Settlement Account To Settle Mark-to-Market Payments Arising From Stock Loan and Borrow Positions Carried in the Customers' Account 2013-01-15T00:00:00-08:00 2013-01-15T00:00:00-08:00 2013-00609 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00609.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00680.html Notice - Sunshine Act Meetings 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00680 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00680.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00678.html Notice - Sunshine Act Meetings 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00678 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00678.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00677.html Notice - Sunshine Act Meetings 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00677 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00677.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00539.html Notice - Advisory Committee on Small and Emerging Companies; Meeting 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00539 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00539.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00538.html Notice - Dodd-Frank Investor Advisory Committee 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00538 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00538.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00520.html Notice - Proposed Collection; Comment Request 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00520 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00520.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00519.html Notice - Submission for OMB Review; Comment Request 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00519 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00519.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00518.html Notice - Proposed Collection; Comment Request 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00518 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00518.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00517.html Notice - Submission for OMB Review; Comment Request 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00517 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00517.pdf https://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00516.html Notice - First Trust Exchange-Traded Fund, et al.; Notice of Application 2013-01-14T00:00:00-08:00 2013-01-14T00:00:00-08:00 2013-00516 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00516.pdf https://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00434.html Notice - Credit Suisse Opportunity Funds, et al.; Notice of Application 2013-01-11T00:00:00-08:00 2013-01-11T00:00:00-08:00 2013-00434 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00434.pdf https://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00433.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.5(c) (NBBO Offset Peg Order) 2013-01-11T00:00:00-08:00 2013-01-11T00:00:00-08:00 2013-00433 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00433.pdf https://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00431.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5(c) (NBBO Offset Peg Order) 2013-01-11T00:00:00-08:00 2013-01-11T00:00:00-08:00 2013-00431 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00431.pdf https://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00380.html Notice - Fidelity Commonwealth Trust, et al.; Notice of Application 2013-01-11T00:00:00-08:00 2013-01-11T00:00:00-08:00 2013-00380 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00380.pdf https://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00379.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule With Respect to Settlement and Asset Services 2013-01-11T00:00:00-08:00 2013-01-11T00:00:00-08:00 2013-00379 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00379.pdf https://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00354.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List With Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected by the Financial Industry Regulatory Authority, Inc. 2013-01-11T00:00:00-08:00 2013-01-11T00:00:00-08:00 2013-00354 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00354.pdf https://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00353.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule With Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected by the Financial Industry Regulatory Authority, Inc. 2013-01-11T00:00:00-08:00 2013-01-11T00:00:00-08:00 2013-00353 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00353.pdf https://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00352.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services With Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected by the Financial Industry Regulatory Authority, Inc. 2013-01-11T00:00:00-08:00 2013-01-11T00:00:00-08:00 2013-00352 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00352.pdf https://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00351.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price With Respect to Regulatory Fees Related to the Central Registration Depository, Which Are Collected by the Financial Industry Regulatory Authority, Inc. 2013-01-11T00:00:00-08:00 2013-01-11T00:00:00-08:00 2013-00351 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00351.pdf https://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00310.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Eliminating Certain Credits Within the New York Stock Exchange LLC Price List 2013-01-10T00:00:00-08:00 2013-01-10T00:00:00-08:00 2013-00310 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00310.pdf https://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00308.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Address the Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of Routing Service Error Accounts 2013-01-10T00:00:00-08:00 2013-01-10T00:00:00-08:00 2013-00308 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00308.pdf https://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00307.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Related to CBSX To Address the Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of Routing Service Error Accounts 2013-01-10T00:00:00-08:00 2013-01-10T00:00:00-08:00 2013-00307 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00307.pdf https://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00306.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Address the Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of Routing Service Error Accounts 2013-01-10T00:00:00-08:00 2013-01-10T00:00:00-08:00 2013-00306 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00306.pdf https://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00305.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Caps 2013-01-10T00:00:00-08:00 2013-01-10T00:00:00-08:00 2013-00305 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00305.pdf https://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00304.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Yield Long/Short ETF of First Trust Exchange-Traded Fund IV 2013-01-10T00:00:00-08:00 2013-01-10T00:00:00-08:00 2013-00304 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00304.pdf https://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00303.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Adopt a Trading License Fee for Calendar Year 2013 2013-01-10T00:00:00-08:00 2013-01-10T00:00:00-08:00 2013-00303 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00303.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/C1-2012-31120.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Guggenheim Enhanced Total Return ETF Under NYSE Arca Equities Rule 8.600 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 C1-2012-31120 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/C1-2012-31120.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00257.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on BOX 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00257 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00257.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00256.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Professional Options Transaction Charges 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00256 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00256.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00255.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule for the Following Direct Data Feed Products: Top of Phlx Options Data Feed, the Top of Phlx Options Plus Orders Data Feed, the PHLX Orders Data Feed and the PHLX Depth of Market Data Feed 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00255 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00255.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00254.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on BOX 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00254 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00254.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00253.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00253 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00253.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00201.html Notice - Self-Regulatory Organizations; NASDAQ OX 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 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00201 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00201.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00200.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt a HAL System 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00200 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00200.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00199.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00199 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00199.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00198.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00198 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00198.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00197.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Substantive, Technical Corrections to ISE Rules 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00197 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00197.pdf https://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00196.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Options on the Nasdaq-100 Index (NDX) and the Reduced-Value Nasdaq-100 Index (MNX) and To Amend NYSE Arca Rule 5.15(a)(1) To Provide That There Are No Position Limits for Options on NDX and MNX 2013-01-09T00:00:00-08:00 2013-01-09T00:00:00-08:00 2013-00196 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00196.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/C1-2012-31260.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 C1-2012-31260 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/C1-2012-31260.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/C1-2012-30888.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade First Trust Preferred Securities and Income ETF Under NYSE Arca Equities Rule 8.600 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 C1-2012-30888 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/C1-2012-30888.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/C1-2012-30887.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 2, To Allow the Listing and Trading of a P.M.-Settled S&P 500 Index Option Product 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 C1-2012-30887 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/C1-2012-30887.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/C1-2012-30886.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 C1-2012-30886 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/C1-2012-30886.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00122.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Relating to Enhancements That the Mortgage-Backed Securities Division Intends To Implement to its Services and Certain Other Clarifications and Corrections to Its Rules 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2013-00122 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00122.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00084.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Enhanced Margin Methodology 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2013-00084 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00084.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00083.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Fee Structure as It Relates to Certain Insurance and Retirement Processing Services and To Remove Reference to and the Fees Related to FundSPEED, a Discontinued Service 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2013-00083 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00083.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00082.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500-Equities To Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market (“Nasdaq”) Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2013-00082 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00082.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00081.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of its Supplemental Liquidity Providers Pilot (Rule 107B) Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2013 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2013-00081 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00081.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00080.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2013 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2013-00080 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00080.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00079.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2013 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2013-00079 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00079.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00078.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot (Rule 107B-Equities) Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 2013 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2013-00078 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00078.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00077.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot Options Fees 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2013-00077 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00077.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2012-31674.html Unknown - Unified Agenda of Federal Regulatory and Deregulatory Actions 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2012-31674 Unknown http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2012-31674.pdf https://regulations.justia.com/regulations/fedreg/2013/01/08/2012-31518.html Unknown - Regulatory Flexibility Agenda 2013-01-08T00:00:00-08:00 2013-01-08T00:00:00-08:00 2012-31518 Unknown http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2012-31518.pdf https://regulations.justia.com/regulations/fedreg/2013/01/07/2013-00126.html Notice - Sunshine Act Meeting 2013-01-07T00:00:00-08:00 2013-01-07T00:00:00-08:00 2013-00126 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2013-00126.pdf https://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31753.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2013-01-07T00:00:00-08:00 2013-01-07T00:00:00-08:00 2012-31753 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31753.pdf https://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31752.html Notice - 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 2013-01-07T00:00:00-08:00 2013-01-07T00:00:00-08:00 2012-31752 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31752.pdf https://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31751.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Fee Related to the DTCC GCF Repo Index® From the Fee Structure of the Government Securities Division 2013-01-07T00:00:00-08:00 2013-01-07T00:00:00-08:00 2012-31751 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31751.pdf https://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31750.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange Penny Pilot Program 2013-01-07T00:00:00-08:00 2013-01-07T00:00:00-08:00 2012-31750 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31750.pdf https://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31749.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2013-01-07T00:00:00-08:00 2013-01-07T00:00:00-08:00 2012-31749 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31749.pdf https://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31748.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange Penny Pilot Program 2013-01-07T00:00:00-08:00 2013-01-07T00:00:00-08:00 2012-31748 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31748.pdf https://regulations.justia.com/regulations/fedreg/2013/01/04/2012-31670.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Eliminate the Offset of Its Obligations With Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures 2013-01-04T00:00:00-08:00 2013-01-04T00:00:00-08:00 2012-31670 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-04/pdf/2012-31670.pdf https://regulations.justia.com/regulations/fedreg/2013/01/04/2012-31669.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments 2013-01-04T00:00:00-08:00 2013-01-04T00:00:00-08:00 2012-31669 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-04/pdf/2012-31669.pdf https://regulations.justia.com/regulations/fedreg/2013/01/04/2012-31668.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the United States Asian Commodities Basket Fund Under NYSE Arca Equities Rule 8.200 2013-01-04T00:00:00-08:00 2013-01-04T00:00:00-08:00 2012-31668 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-04/pdf/2012-31668.pdf https://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31595.html Notice - File No. 500-1, Southridge Enterprises, Inc.; Order of Suspension of Trading 2013-01-02T00:00:00-08:00 2013-01-02T00:00:00-08:00 2012-31595 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31595.pdf https://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31593.html Notice - Desert Mining, Inc., Eagle Broadband, Inc., Endovasc, Inc., Environmental Oil Processing Technology Corp., Falcon Ridge Development, Inc., Fellows Energy Ltd., Forster Drilling Corp. (n/k/a Phoenix Drilling Corporation), and Golden Autumn Holdings, Inc.; Order of Suspension of Trading 2013-01-02T00:00:00-08:00 2013-01-02T00:00:00-08:00 2012-31593 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31593.pdf https://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31533.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Exchange's Credit Option Margin Pilot Program 2013-01-02T00:00:00-08:00 2013-01-02T00:00:00-08:00 2012-31533 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31533.pdf https://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31466.html Notice - Proposed Collection; Comment Request 2013-01-02T00:00:00-08:00 2013-01-02T00:00:00-08:00 2012-31466 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31466.pdf https://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31465.html Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc. 2013-01-02T00:00:00-08:00 2013-01-02T00:00:00-08:00 2012-31465 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31465.pdf https://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31464.html Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of Its Parent Corporation, The NASDAQ OMX Group, Inc. 2013-01-02T00:00:00-08:00 2013-01-02T00:00:00-08:00 2012-31464 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31464.pdf https://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31463.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Its By-Laws and Rules Consistent With Recent System Changes to the Stock Loan/Hedge Program and Market Loan Program and Delete Certain Terms and Provisions No Longer Applicable 2013-01-02T00:00:00-08:00 2013-01-02T00:00:00-08:00 2012-31463 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31463.pdf https://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31462.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2013-01-02T00:00:00-08:00 2013-01-02T00:00:00-08:00 2012-31462 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31462.pdf