Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/03/15?limit=200&registers=between&mode=atom 2024-12-28T01:48:22-08:00 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/2013/03/15/2013-06045.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 To NYSE Arca Options Rule 6.72 To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-06045 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-06045.pdf https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-06044.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-06044 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-06044.pdf https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05986.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Add Two Self-Trade Prevention Modifiers That May Be Used by Certain Market Participants 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-05986 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05986.pdf https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05985.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange LLC Price List To Increase the Gross FOCUS Fee 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-05985 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05985.pdf https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05984.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Adding Two Self-Trade Prevention (“STP”) Modifiers That May Be Used by Certain Market Participants 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-05984 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05984.pdf https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05983.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Maximum Time Afforded to a Market Maker To Meet Its Market Making Obligations Upon Rejoining the Market After an Excused Withdrawal Under Rule 4619 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-05983 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05983.pdf https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05982.html Notice - AIP Series Trust and Morgan Stanley AIP GP LP; Notice of Application 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-05982 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05982.pdf https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05981.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-05981 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05981.pdf https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05980.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Clarify That a Retail Member Organization May Submit Retail Orders to the Retail Liquidity Program in a Riskless Principal Capacity as Well as in an Agency Capacity 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-05980 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05980.pdf https://regulations.justia.com/regulations/fedreg/2013/03/15/2013-05979.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. 2013-03-15T00:00:00-07:00 2013-03-15T00:00:00-07:00 2013-05979 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-15/pdf/2013-05979.pdf