Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/01?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-10T16:35:22-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/01/31/2013-02073.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Establish a New Optional Wireless Connectivity for Colocated Clients2013-01-31T00:00:00-08:002013-01-31T00:00:00-08:002013-02073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-31/pdf/2013-02073.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01993.htmlNotice - 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 House2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01993Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01993.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01984.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01984Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01984.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01983.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for EdgeBook AttributedSM2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01983Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01983.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01982.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for EdgeBook AttributedSM2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01982Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01982.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01971.htmlNotice - 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 Order2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01971.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01970.htmlNotice - 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 Voting2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01970.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01969.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Routing Fees2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01969.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01938.htmlNotice - Proposed Collection; Comment Request2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01938Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01938.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01937.htmlNotice - Proposed Collection; Comment Request2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01937Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01937.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01936.htmlNotice - Proposed Collection; Comment Request2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01936.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01935.htmlNotice - Submission for OMB Review; Comment Request2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01935.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01934.htmlNotice - Proposed Collection; Comment Request2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01934.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01933.htmlNotice - 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 Day2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01933.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01932.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 57102013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01932.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01931.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01931.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01930.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01930Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01930.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/30/2013-01929.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Accommodate Certain Physically-Settled Options on U.S. Treasury Securities2013-01-30T00:00:00-08:002013-01-30T00:00:00-08:002013-01929Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-30/pdf/2013-01929.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01964.htmlNotice - 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 Trading2013-01-29T00:00:00-08:002013-01-29T00:00:00-08:002013-01964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01964.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01963.htmlNotice - 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.2013-01-29T00:00:00-08:002013-01-29T00:00:00-08:002013-01963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01963.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01962.htmlNotice - 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.,2013-01-29T00:00:00-08:002013-01-29T00:00:00-08:002013-01962Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01962.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01960.htmlNotice - Sunshine Act Meeting2013-01-29T00:00:00-08:002013-01-29T00:00:00-08:002013-01960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01960.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01841.htmlNotice - 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 Schedule2013-01-29T00:00:00-08:002013-01-29T00:00:00-08:002013-01841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01841.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01840.htmlNotice - 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 Assigned2013-01-29T00:00:00-08:002013-01-29T00:00:00-08:002013-01840Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01840.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01839.htmlNotice - 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 Assigned2013-01-29T00:00:00-08:002013-01-29T00:00:00-08:002013-01839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01839.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01811.htmlNotice - 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)2013-01-29T00:00:00-08:002013-01-29T00:00:00-08:002013-01811Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01811.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/29/2013-01810.htmlNotice - 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 Liability2013-01-29T00:00:00-08:002013-01-29T00:00:00-08:002013-01810Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-29/pdf/2013-01810.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/28/2013-01714.htmlNotice - 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, 20132013-01-28T00:00:00-08:002013-01-28T00:00:00-08:002013-01714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-28/pdf/2013-01714.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/28/2013-01713.htmlNotice - 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, 20132013-01-28T00:00:00-08:002013-01-28T00:00:00-08:002013-01713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-28/pdf/2013-01713.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/28/2013-01644.htmlNotice - Symetra Life Insurance Company, et al.; Notice of Application2013-01-28T00:00:00-08:002013-01-28T00:00:00-08:002013-01644Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-28/pdf/2013-01644.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/28/2013-01643.htmlNotice - Securian Funds Trust, et al.; Notice of Application2013-01-28T00:00:00-08:002013-01-28T00:00:00-08:002013-01643Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-28/pdf/2013-01643.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01496.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01496.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01495.htmlNotice - 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)2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01495.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01494.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 2267 (Investor Education and Protection)2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01494.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01493.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01493.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01492.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01492Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01492.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01491.htmlNotice - 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 Options2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01491Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01491.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01490.htmlNotice - 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 Options2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01490Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01490.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01489.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01489.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01488.htmlNotice - 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 Implementation2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01488Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01488.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01487.htmlNotice - 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 Rule2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01487Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01487.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01486.htmlNotice - 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)2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01486Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01486.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01485.htmlNotice - 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 Obligation2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01485Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01485.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01484.htmlNotice - 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 Instruments2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01484Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01484.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/25/2013-01483.htmlNotice - 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 Organizations2013-01-25T00:00:00-08:002013-01-25T00:00:00-08:002013-01483Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-25/pdf/2013-01483.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/24/2013-01376.htmlNotice - 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 Process2013-01-24T00:00:00-08:002013-01-24T00:00:00-08:002013-01376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-24/pdf/2013-01376.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/24/2013-01375.htmlNotice - 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 Changes2013-01-24T00:00:00-08:002013-01-24T00:00:00-08:002013-01375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-24/pdf/2013-01375.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/C1-2013-00201.htmlNotice - 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 Traders2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:00C1-2013-00201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/C1-2013-00201.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01398.htmlNotice - In the Matter of AlphaTrade.com; Order of Suspension of Trading2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01398.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01281.htmlNotice - 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 Act2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01281Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01281.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01269.htmlRule - Lost Securityholders and Unresponsive Payees2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01269Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01269.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01245.htmlNotice - 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 Nasdaq2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01245.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01244.htmlNotice - 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 Decisions2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01244.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01243.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Establish Optional TRACE Data Delivery Services and Related Fees2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01243.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01226.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Pricing Schedule2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01226Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01226.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01225.htmlNotice - 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 ETFs2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01225Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01225.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01224.htmlNotice - 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)2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01224.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01223.htmlNotice - 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)2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01223Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01223.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01222.htmlNotice - 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 8.6002013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01222.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01221.htmlNotice - 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.2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01221Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01221.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01220.htmlNotice - 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 Changes2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01220Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01220.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01202.htmlRule - Authority Citation Correction2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01202Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01202.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/23/2013-01058.htmlRule - Adoption of Updated EDGAR Filer Manual2013-01-23T00:00:00-08:002013-01-23T00:00:00-08:002013-01058Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-23/pdf/2013-01058.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01271.htmlNotice - Sunshine Act Meeting2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01271.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01270.htmlNotice - Sunshine Act Meeting2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01270.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01247.htmlNotice - Order of Suspension of Trading; in the Matter of Medex, Inc.2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01247.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01173.htmlNotice - 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.2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01173.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01114.htmlNotice - 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.2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01114Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01114.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01113.htmlNotice - Proposed Collection; Comment Request2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01113Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01113.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01112.htmlNotice - Proposed Collection; Comment Request2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01112Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01112.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01111.htmlNotice - Proposed Collection; Comment Request2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01111Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01111.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01110.htmlNotice - 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 Changes2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01110Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01110.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01109.htmlNotice - 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 Changes2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01109Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01109.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01108.htmlNotice - 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 Changes2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01108.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01107.htmlNotice - 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 Changes2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01107.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01106.htmlNotice - 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 Changes2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01106.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01105.htmlNotice - 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 Changes2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01105Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01105.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01104.htmlNotice - 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 Changes2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01104Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01104.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01078.htmlNotice - 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 Securities2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01078.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01077.htmlNotice - 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 Plan2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01077.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01076.htmlNotice - 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)2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01076.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01075.htmlNotice - 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.2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01075.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/22/2013-01053.htmlProposed Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers2013-01-22T00:00:00-08:002013-01-22T00:00:00-08:002013-01053Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-22/pdf/2013-01053.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/18/2013-01151.htmlNotice - Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp.; Order of Suspension of Trading2013-01-18T00:00:00-08:002013-01-18T00:00:00-08:002013-01151Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-01151.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/18/2013-01027.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Fee Schedule Relating to Port Charges2013-01-18T00:00:00-08:002013-01-18T00:00:00-08:002013-01027Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-01027.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/18/2013-01026.htmlNotice - 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 Services2013-01-18T00:00:00-08:002013-01-18T00:00:00-08:002013-01026Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-01026.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/18/2013-00969.htmlNotice - 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-Laws2013-01-18T00:00:00-08:002013-01-18T00:00:00-08:002013-00969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-00969.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/18/2013-00968.htmlNotice - 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 Corporation2013-01-18T00:00:00-08:002013-01-18T00:00:00-08:002013-00968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-00968.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/18/2013-00967.htmlNotice - 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 Schedule2013-01-18T00:00:00-08:002013-01-18T00:00:00-08:002013-00967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-00967.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/18/2013-00966.htmlNotice - 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 Act2013-01-18T00:00:00-08:002013-01-18T00:00:00-08:002013-00966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-18/pdf/2013-00966.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00975.htmlNotice - Sunshine Act Meeting2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00975.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00922.htmlNotice - 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 Revisions2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00922Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00922.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00876.htmlNotice - 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 Changes2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00876.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00875.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Minor Rule Violations2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00875.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00874.htmlNotice - 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 Definition2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00874.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00873.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00873.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00872.htmlNotice - 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.2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00872.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00871.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Disapproving Proposed Rule Change To Establish “Benchmark Orders” Under NASDAQ Rule 4751(f)2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00871.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00870.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00870.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00869.htmlNotice - 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 Program2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00869Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00869.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00868.htmlNotice - 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 Services2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00868Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00868.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00867.htmlNotice - 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 Services2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00867Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00867.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/17/2013-00772.htmlNotice - 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 & Procedures2013-01-17T00:00:00-08:002013-01-17T00:00:00-08:002013-00772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-17/pdf/2013-00772.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/16/C1-2012-31464.htmlNotice - 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.2013-01-16T00:00:00-08:002013-01-16T00:00:00-08:00C1-2012-31464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/C1-2012-31464.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/16/C1-2012-31463.htmlNotice - 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 Applicable2013-01-16T00:00:00-08:002013-01-16T00:00:00-08:00C1-2012-31463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/C1-2012-31463.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/16/C1-2012-31462.htmlNotice - 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 Delisted2013-01-16T00:00:00-08:002013-01-16T00:00:00-08:00C1-2012-31462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/C1-2012-31462.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00796.htmlNotice - 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 Products2013-01-16T00:00:00-08:002013-01-16T00:00:00-08:002013-00796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00796.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00795.htmlNotice - 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 Agreement2013-01-16T00:00:00-08:002013-01-16T00:00:00-08:002013-00795Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00795.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00791.htmlNotice - 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 QView2013-01-16T00:00:00-08:002013-01-16T00:00:00-08:002013-00791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00791.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00790.htmlNotice - 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.2013-01-16T00:00:00-08:002013-01-16T00:00:00-08:002013-00790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00790.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00789.htmlNotice - 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 Component2013-01-16T00:00:00-08:002013-01-16T00:00:00-08:002013-00789Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00789.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/16/2013-00771.htmlNotice - 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 Fees2013-01-16T00:00:00-08:002013-01-16T00:00:00-08:002013-00771Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00771.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00681.htmlNotice - Exchange Traded Spreads Trust, et al.; Notice of Application2013-01-15T00:00:00-08:002013-01-15T00:00:00-08:002013-00681Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00681.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00679.htmlNotice - 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 Year2013-01-15T00:00:00-08:002013-01-15T00:00:00-08:002013-00679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00679.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00663.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee and Rebate Schedule2013-01-15T00:00:00-08:002013-01-15T00:00:00-08:002013-00663Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00663.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00662.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Routing Fee2013-01-15T00:00:00-08:002013-01-15T00:00:00-08:002013-00662Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00662.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00660.htmlNotice - J.P. Morgan Securities LLC, et al.; Notice of Application and Temporary Order2013-01-15T00:00:00-08:002013-01-15T00:00:00-08:002013-00660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00660.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00634.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC Notice; of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options2013-01-15T00:00:00-08:002013-01-15T00:00:00-08:002013-00634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00634.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00633.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2013-01-15T00:00:00-08:002013-01-15T00:00:00-08:002013-00633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00633.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00610.htmlNotice - 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 Conditions2013-01-15T00:00:00-08:002013-01-15T00:00:00-08:002013-00610Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00610.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/15/2013-00609.htmlNotice - 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' Account2013-01-15T00:00:00-08:002013-01-15T00:00:00-08:002013-00609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00609.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00680.htmlNotice - Sunshine Act Meetings2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00680Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00680.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00678.htmlNotice - Sunshine Act Meetings2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00678.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00677.htmlNotice - Sunshine Act Meetings2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00677.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00539.htmlNotice - Advisory Committee on Small and Emerging Companies; Meeting2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00539Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00539.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00538.htmlNotice - Dodd-Frank Investor Advisory Committee2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00538Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00538.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00520.htmlNotice - Proposed Collection; Comment Request2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00520Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00520.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00519.htmlNotice - Submission for OMB Review; Comment Request2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00519.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00518.htmlNotice - Proposed Collection; Comment Request2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00518.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00517.htmlNotice - Submission for OMB Review; Comment Request2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00517.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/14/2013-00516.htmlNotice - First Trust Exchange-Traded Fund, et al.; Notice of Application2013-01-14T00:00:00-08:002013-01-14T00:00:00-08:002013-00516Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-14/pdf/2013-00516.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00434.htmlNotice - Credit Suisse Opportunity Funds, et al.; Notice of Application2013-01-11T00:00:00-08:002013-01-11T00:00:00-08:002013-00434Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00434.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00433.htmlNotice - 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)2013-01-11T00:00:00-08:002013-01-11T00:00:00-08:002013-00433Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00433.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00431.htmlNotice - 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)2013-01-11T00:00:00-08:002013-01-11T00:00:00-08:002013-00431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00431.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00380.htmlNotice - Fidelity Commonwealth Trust, et al.; Notice of Application2013-01-11T00:00:00-08:002013-01-11T00:00:00-08:002013-00380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00380.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00379.htmlNotice - 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 Services2013-01-11T00:00:00-08:002013-01-11T00:00:00-08:002013-00379Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00379.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00354.htmlNotice - 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.2013-01-11T00:00:00-08:002013-01-11T00:00:00-08:002013-00354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00354.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00353.htmlNotice - 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.2013-01-11T00:00:00-08:002013-01-11T00:00:00-08:002013-00353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00353.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00352.htmlNotice - 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.2013-01-11T00:00:00-08:002013-01-11T00:00:00-08:002013-00352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00352.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/11/2013-00351.htmlNotice - 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.2013-01-11T00:00:00-08:002013-01-11T00:00:00-08:002013-00351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00351.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00310.htmlNotice - 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 List2013-01-10T00:00:00-08:002013-01-10T00:00:00-08:002013-00310Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00310.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00308.htmlNotice - 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 Accounts2013-01-10T00:00:00-08:002013-01-10T00:00:00-08:002013-00308Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00308.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00307.htmlNotice - 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 Accounts2013-01-10T00:00:00-08:002013-01-10T00:00:00-08:002013-00307Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00307.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00306.htmlNotice - 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 Accounts2013-01-10T00:00:00-08:002013-01-10T00:00:00-08:002013-00306Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00306.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00305.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategy Caps2013-01-10T00:00:00-08:002013-01-10T00:00:00-08:002013-00305Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00305.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00304.htmlNotice - 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 IV2013-01-10T00:00:00-08:002013-01-10T00:00:00-08:002013-00304Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00304.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/10/2013-00303.htmlNotice - 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 20132013-01-10T00:00:00-08:002013-01-10T00:00:00-08:002013-00303Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-10/pdf/2013-00303.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/C1-2012-31120.htmlNotice - 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 8.6002013-01-09T00:00:00-08:002013-01-09T00:00:00-08:00C1-2012-31120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/C1-2012-31120.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00257.htmlNotice - 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 BOX2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00257.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00256.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to Professional Options Transaction Charges2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00256.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00255.htmlNotice - 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 Feed2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00255Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00255.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00254.htmlNotice - 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 BOX2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00254Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00254.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00253.htmlNotice - 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 Sale2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00253Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00253.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00201.htmlNotice - 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 Traders2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00201.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00200.htmlNotice - 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 System2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00200Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00200.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00199.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00199Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00199.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00198.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00198Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00198.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00197.htmlNotice - 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 Rules2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00197Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00197.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/09/2013-00196.htmlNotice - 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 MNX2013-01-09T00:00:00-08:002013-01-09T00:00:00-08:002013-00196Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-09/pdf/2013-00196.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/C1-2012-31260.htmlNotice - 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 Program2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:00C1-2012-31260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/C1-2012-31260.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/C1-2012-30888.htmlNotice - 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 8.6002013-01-08T00:00:00-08:002013-01-08T00:00:00-08:00C1-2012-30888Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/C1-2012-30888.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/C1-2012-30887.htmlNotice - 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 Product2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:00C1-2012-30887Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/C1-2012-30887.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/C1-2012-30886.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:00C1-2012-30886Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/C1-2012-30886.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00122.htmlNotice - 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 Rules2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002013-00122Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00122.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00084.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Enhanced Margin Methodology2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002013-00084Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00084.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00083.htmlNotice - 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 Service2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002013-00083Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00083.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00082.htmlNotice - 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 Privileges2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002013-00082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00082.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00081.htmlNotice - 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, 20132013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002013-00081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00081.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00080.htmlNotice - 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, 20132013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002013-00080Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00080.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00079.htmlNotice - 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, 20132013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002013-00079Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00079.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00078.htmlNotice - 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, 20132013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002013-00078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00078.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2013-00077.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot Options Fees2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002013-00077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00077.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2012-31674.htmlUnknown - Unified Agenda of Federal Regulatory and Deregulatory Actions2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002012-31674Unknownhttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2012-31674.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/08/2012-31518.htmlUnknown - Regulatory Flexibility Agenda2013-01-08T00:00:00-08:002013-01-08T00:00:00-08:002012-31518Unknownhttp://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2012-31518.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/07/2013-00126.htmlNotice - Sunshine Act Meeting2013-01-07T00:00:00-08:002013-01-07T00:00:00-08:002013-00126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2013-00126.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31753.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402013-01-07T00:00:00-08:002013-01-07T00:00:00-08:002012-31753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31753.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31752.htmlNotice - 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 Schedule2013-01-07T00:00:00-08:002013-01-07T00:00:00-08:002012-31752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31752.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31751.htmlNotice - 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 Division2013-01-07T00:00:00-08:002013-01-07T00:00:00-08:002012-31751Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31751.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31750.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange Penny Pilot Program2013-01-07T00:00:00-08:002013-01-07T00:00:00-08:002012-31750Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31750.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31749.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2013-01-07T00:00:00-08:002013-01-07T00:00:00-08:002012-31749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31749.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/07/2012-31748.htmlNotice - 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 Program2013-01-07T00:00:00-08:002013-01-07T00:00:00-08:002012-31748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-07/pdf/2012-31748.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/04/2012-31670.htmlNotice - 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 & Procedures2013-01-04T00:00:00-08:002013-01-04T00:00:00-08:002012-31670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-04/pdf/2012-31670.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/04/2012-31669.htmlNotice - 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 Instruments2013-01-04T00:00:00-08:002013-01-04T00:00:00-08:002012-31669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-04/pdf/2012-31669.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/04/2012-31668.htmlNotice - 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 8.2002013-01-04T00:00:00-08:002013-01-04T00:00:00-08:002012-31668Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-04/pdf/2012-31668.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31595.htmlNotice - File No. 500-1, Southridge Enterprises, Inc.; Order of Suspension of Trading2013-01-02T00:00:00-08:002013-01-02T00:00:00-08:002012-31595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31595.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31593.htmlNotice - 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 Trading2013-01-02T00:00:00-08:002013-01-02T00:00:00-08:002012-31593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31593.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31533.htmlNotice - 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 Program2013-01-02T00:00:00-08:002013-01-02T00:00:00-08:002012-31533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31533.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31466.htmlNotice - Proposed Collection; Comment Request2013-01-02T00:00:00-08:002013-01-02T00:00:00-08:002012-31466Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31466.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31465.htmlNotice - 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.2013-01-02T00:00:00-08:002013-01-02T00:00:00-08:002012-31465Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31465.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31464.htmlNotice - 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.2013-01-02T00:00:00-08:002013-01-02T00:00:00-08:002012-31464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31464.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31463.htmlNotice - 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 Applicable2013-01-02T00:00:00-08:002013-01-02T00:00:00-08:002012-31463Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31463.pdfhttps://regulations.justia.com/regulations/fedreg/2013/01/02/2012-31462.htmlNotice - 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 Delisted2013-01-02T00:00:00-08:002013-01-02T00:00:00-08:002012-31462Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-01-02/pdf/2012-31462.pdf