<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/03/08?registers=between Tue, 30 Apr 2024 13:35:45 -0700 Tue, 30 Apr 2024 13:35:45 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/03/08?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05532.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05532.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05532 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05532.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Require That Listed Companies Have an Internal Audit Function https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05454.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05454.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05454 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05454.pdf Notice - Cohen & Steers Real Assets Fund, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05424.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05424.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05424 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05424.pdf Notice - The Advisors' Inner Circle Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05423.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05423.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05423 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05423.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05420.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05420.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05420 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05420.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting Exchange Rule 953.1NY To Provide for How the Exchange Proposes To Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility; and Amending Exchange Rule 953NY To Codify That the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05419.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05419.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05419 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05419.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Adopting New Exchange Rule 6.65A To Provide for How the Exchange Proposes to Treat Orders, Market-Making Quoting Obligations, and Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility; and Amending Exchange Rule 6.65 To Codify That the Exchange Shall Halt Trading in All Options Overlying NMS Stocks When the Equities Markets Initiate a Market-Wide Trading Halt Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05418.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05418.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05418 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05418.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Long-Term Index Options https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05417.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05417.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05417 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05417.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05415.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05415.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05415 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05415.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Assess a Fee for the Limit Locator Service https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05414.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05414.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05414 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05414.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Orders https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05413.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05413.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05413 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05413.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05412.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05412.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05412 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05412.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05409.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05409.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05409 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05409.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Mini Options https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05408.html https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05408.html Fri, 08 Mar 2013 00:00:00 -0800 2013-05408 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05408.pdf