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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2021-08-02T16:15:48-07:00 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/2013/03/29/2013-07447.html Notice - Sunshine Act Meeting 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07447 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07447.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07322.html Notice - Submission for OMB Review; Comment Request 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07322 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07322.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07321.html Notice - Proposed Collection; Comment Request 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07321 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07321.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07320.html Notice - Submission for OMB Review; Comment Request 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07320 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07320.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07319.html Notice - Submission for OMB Review; Comment Request 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07319 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07319.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07318.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Limit Up Limit Down Functionality 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07318 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07318.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07317.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program To Receive Inbound Orders Routed by NASDAQ Execution Services LLC From PSX 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07317 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07317.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07316.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit PSX To Accept Inbound Orders Routed by NASDAQ Execution Services LLC From the BX Equities Market 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07316 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07316.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07315.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. 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07315 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07315.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07314.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Commentary .01 to NYSE Rule 2B, Which Provides an Exception Related to the Exchange's Equity Ownership Interest in BIDS Holdings L.P. 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07314 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07314.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07299.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Exchange Trading Days and Hours of Business and Trading Halts 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07299 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07299.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07298.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit NASDAQ To Accept Inbound Orders Routed by NASDAQ Execution Services LLC From the BX Equities Market and PSX 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07298 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07298.pdf https://regulations.justia.com/regulations/fedreg/2013/03/29/2013-07295.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Publishing of ICC Circular Related to Swap Data Repository Reporting 2013-03-29T00:00:00-07:00 2013-03-29T00:00:00-07:00 2013-07295 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-29/pdf/2013-07295.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07222.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Orders and Mini-Options 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07222 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07222.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07214.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 4120 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07214 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07214.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07192.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 4626-Limitation of Liability 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07192 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07192.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07191.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 27 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07191 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07191.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07185.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Net and Bilaterally Offset Aggregated Receive and Deliver Settlement Obligations for Special Trades, and To Use Current Market Price as the Uniform Settlement Price for Net Balance Orders 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07185 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07185.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07184.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 4120 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07184 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07184.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07183.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 3100 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07183 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07183.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07182.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 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07182 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07182.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07179.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide the Ability To Prevent Zero Display Reserve Orders From Executing in a Locked Market 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07179 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07179.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07178.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess a Fee for Use of FIX and OUCH Trading Ports for Testing 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07178 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07178.pdf https://regulations.justia.com/regulations/fedreg/2013/03/28/2013-07177.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing Proposed Rule Changes Regarding Central Counterparty Resolution and Recovery Procedures 2013-03-28T00:00:00-07:00 2013-03-28T00:00:00-07:00 2013-07177 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-28/pdf/2013-07177.pdf https://regulations.justia.com/regulations/fedreg/2013/03/27/2013-07062.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change Relating to Obvious Errors in Limit or Straddle States 2013-03-27T00:00:00-07:00 2013-03-27T00:00:00-07:00 2013-07062 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07062.pdf https://regulations.justia.com/regulations/fedreg/2013/03/27/2013-07012.html Notice - ING Life Insurance and Annuity Company, et al; Notice of Application 2013-03-27T00:00:00-07:00 2013-03-27T00:00:00-07:00 2013-07012 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07012.pdf https://regulations.justia.com/regulations/fedreg/2013/03/27/2013-07011.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections I and II of the Pricing Schedule 2013-03-27T00:00:00-07:00 2013-03-27T00:00:00-07:00 2013-07011 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07011.pdf https://regulations.justia.com/regulations/fedreg/2013/03/27/2013-07010.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Order Router Subsidy Program for Complex Orders 2013-03-27T00:00:00-07:00 2013-03-27T00:00:00-07:00 2013-07010 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07010.pdf https://regulations.justia.com/regulations/fedreg/2013/03/27/2013-07009.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 To Establish Fees for Mini Options on BOX 2013-03-27T00:00:00-07:00 2013-03-27T00:00:00-07:00 2013-07009 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07009.pdf https://regulations.justia.com/regulations/fedreg/2013/03/27/2013-07008.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Amend Rules Relating to Recovery and Resolution Arrangements 2013-03-27T00:00:00-07:00 2013-03-27T00:00:00-07:00 2013-07008 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07008.pdf https://regulations.justia.com/regulations/fedreg/2013/03/27/2013-07007.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Equity Rights Program of CBSX 2013-03-27T00:00:00-07:00 2013-03-27T00:00:00-07:00 2013-07007 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07007.pdf https://regulations.justia.com/regulations/fedreg/2013/03/27/2013-07006.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders, Complex Trades and Stock/Options Orders To Accommodate the Trading of Option Contracts Overlying 10 Shares of a Security 2013-03-27T00:00:00-07:00 2013-03-27T00:00:00-07:00 2013-07006 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07006.pdf https://regulations.justia.com/regulations/fedreg/2013/03/27/2013-07005.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Definition of Complex Orders and Stock/Options Orders To Accommodate the Trading of Option Contracts Overlying 10 Shares of a Security 2013-03-27T00:00:00-07:00 2013-03-27T00:00:00-07:00 2013-07005 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07005.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06885.html Notice - Proposed Collection; Comment Request 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06885 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06885.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06884.html Notice - Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning the NASDAQ Stock Market LLC Market Quality Program Pilot Pursuant to Regulation M Rule 102(e) 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06884 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06884.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06882.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, To Establish the Market Quality Program 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06882 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06882.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06880.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06880 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06880.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06879.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06879 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06879.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06878.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Add Provisions to the By-Laws To Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06878 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06878.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06877.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending the Attestation Requirement of Rules 107C and 107C-Equities, Respectively, To Allow a Retail Member Organization To Attest That “Substantially All” Orders Submitted to The Retail Liquidity Program Will Qualify as “Retail Orders” 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06877 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06877.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06876.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving Proposed Rule Change To Modify the Competitive Liquidity Provider Program to, Among Other Things, Modify the Calculation of Size Event Tests 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06876 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06876.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06875.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Interpretive Material to Rule 7080 in Connection With the Implementation of the Limit Up-Limit Down Plan 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06875 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06875.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06790.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Minimum Price Variation for Mini Options To Be the Same as Permitted for Standard Options on the Same Security 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06790 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06790.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06789.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt a New Order Type Called the “Auto-Ex Only” Order 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06789 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06789.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06788.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Establishing a Program for PSX Managed Data Solutions (MDS) 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06788 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06788.pdf https://regulations.justia.com/regulations/fedreg/2013/03/26/2013-06787.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt MIAX Rule 530, Limit Up-Limit Down 2013-03-26T00:00:00-07:00 2013-03-26T00:00:00-07:00 2013-06787 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-26/pdf/2013-06787.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06928.html Notice - Sunshine Act Meetings 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06928 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06928.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06731.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Minimum Price Variation for Mini Options To Be the Same as Permitted for Standard Options on the Same Security 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06731 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06731.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06730.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Sixteenth Charges Amendment to the Second Restatement of the CTA Plan and Eighth Charges Amendment to the Restated CQ Plan 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06730 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06730.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06720.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06720 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06720.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06719.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06719 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06719.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06718.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06718 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06718.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06717.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise and Clarify Market Maker Continuous Quoting Obligations 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06717 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06717.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06716.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quoting Requirements 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06716 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06716.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06715.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules To Accommodate the Trading of Option Contracts Overlying 10 Shares of Certain Securities 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06715 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06715.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06714.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Series of Credit Default Index Swaps Available for Clearing 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06714 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06714.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06713.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require Members To Report OTC Equity Transactions as Soon as Practicable, But No Later Than 10 Seconds, Following Execution 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06713 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06713.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06695.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain Rules To Accommodate the Trading of Option Contracts Overlying 10 Shares of Certain Securities 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06695 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06695.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06694.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend C2 Rule 6.3 for Mini-Options Launch 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06694 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06694.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-06693.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit the Minimum Price Variation for Mini-Option Contracts To Be the Same as Permitted for Standard Options on the Same Underlying Security 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-06693 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-06693.pdf https://regulations.justia.com/regulations/fedreg/2013/03/25/2013-05888.html Proposed Rule - Regulation Systems Compliance and Integrity 2013-03-25T00:00:00-07:00 2013-03-25T00:00:00-07:00 2013-05888 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-03-25/pdf/2013-05888.pdf https://regulations.justia.com/regulations/fedreg/2013/03/22/2013-06639.html Notice - Ivy Funds Variable Insurance Portfolios, et al.; Notice of Application 2013-03-22T00:00:00-07:00 2013-03-22T00:00:00-07:00 2013-06639 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-22/pdf/2013-06639.pdf https://regulations.justia.com/regulations/fedreg/2013/03/22/2013-06631.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders and Mini Options 2013-03-22T00:00:00-07:00 2013-03-22T00:00:00-07:00 2013-06631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-22/pdf/2013-06631.pdf https://regulations.justia.com/regulations/fedreg/2013/03/22/2013-06629.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend the Minimum Trading Increments for Mini Options 2013-03-22T00:00:00-07:00 2013-03-22T00:00:00-07:00 2013-06629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-22/pdf/2013-06629.pdf https://regulations.justia.com/regulations/fedreg/2013/03/22/2013-06628.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Minimum Price Variation for Mini Options To Be the Same as Permitted for Standard Options on the Same Security 2013-03-22T00:00:00-07:00 2013-03-22T00:00:00-07:00 2013-06628 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-22/pdf/2013-06628.pdf https://regulations.justia.com/regulations/fedreg/2013/03/22/2013-06627.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Continuous Quoting Obligations 2013-03-22T00:00:00-07:00 2013-03-22T00:00:00-07:00 2013-06627 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-22/pdf/2013-06627.pdf https://regulations.justia.com/regulations/fedreg/2013/03/22/2013-06609.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change To Amend International Securities Exchange, LLC Amended and Restated Constitution 2013-03-22T00:00:00-07:00 2013-03-22T00:00:00-07:00 2013-06609 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-22/pdf/2013-06609.pdf https://regulations.justia.com/regulations/fedreg/2013/03/22/2013-06608.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options 2013-03-22T00:00:00-07:00 2013-03-22T00:00:00-07:00 2013-06608 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-22/pdf/2013-06608.pdf https://regulations.justia.com/regulations/fedreg/2013/03/22/2013-06570.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Minimum Price Variation for Mini Options To Be the Same as Permitted for Standard Options on the Same Underlying Security 2013-03-22T00:00:00-07:00 2013-03-22T00:00:00-07:00 2013-06570 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-22/pdf/2013-06570.pdf https://regulations.justia.com/regulations/fedreg/2013/03/22/2013-06568.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Related to Mini Options Traded on the Exchange 2013-03-22T00:00:00-07:00 2013-03-22T00:00:00-07:00 2013-06568 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-22/pdf/2013-06568.pdf https://regulations.justia.com/regulations/fedreg/2013/03/21/2013-06481.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Limit Up/Limit Down 2013-03-21T00:00:00-07:00 2013-03-21T00:00:00-07:00 2013-06481 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-21/pdf/2013-06481.pdf https://regulations.justia.com/regulations/fedreg/2013/03/21/2013-06480.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Comply With the Requirements of the National Market System Plan To Address Extraordinary Market Volatility 2013-03-21T00:00:00-07:00 2013-03-21T00:00:00-07:00 2013-06480 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-21/pdf/2013-06480.pdf https://regulations.justia.com/regulations/fedreg/2013/03/21/2013-06479.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pre-Market Hours of the Exchange to 4:00 a.m. EST 2013-03-21T00:00:00-07:00 2013-03-21T00:00:00-07:00 2013-06479 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-21/pdf/2013-06479.pdf https://regulations.justia.com/regulations/fedreg/2013/03/21/2013-06478.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Trading Ahead of Customer Orders and Best Execution and Interpositioning Requirements 2013-03-21T00:00:00-07:00 2013-03-21T00:00:00-07:00 2013-06478 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-21/pdf/2013-06478.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06402.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Price Improvement Period (“PIP”) Rule 7150 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06402 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06402.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06401.html Notice - Global X Funds, et al.; Notice of Application 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06401 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06401.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06399.html Notice - Krane Funds Advisors LLC., et al.; Notice of Application 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06399 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06399.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06397.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06397 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06397.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06396.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06396 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06396.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06394.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06394 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06394.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06393.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of Certain Securities 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06393 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06393.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06392.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06392 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06392.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06353.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 the Retail Order Tier 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06353 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06353.pdf https://regulations.justia.com/regulations/fedreg/2013/03/20/2013-06319.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 7014 and 7018 2013-03-20T00:00:00-07:00 2013-03-20T00:00:00-07:00 2013-06319 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-20/pdf/2013-06319.pdf https://regulations.justia.com/regulations/fedreg/2013/03/19/2013-06292.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options 2013-03-19T00:00:00-07:00 2013-03-19T00:00:00-07:00 2013-06292 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-19/pdf/2013-06292.pdf https://regulations.justia.com/regulations/fedreg/2013/03/19/2013-06251.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of Certain Securities 2013-03-19T00:00:00-07:00 2013-03-19T00:00:00-07:00 2013-06251 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-19/pdf/2013-06251.pdf https://regulations.justia.com/regulations/fedreg/2013/03/19/2013-06250.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 2013-03-19T00:00:00-07:00 2013-03-19T00:00:00-07:00 2013-06250 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-19/pdf/2013-06250.pdf https://regulations.justia.com/regulations/fedreg/2013/03/19/2013-06239.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Orders and Mini-Options 2013-03-19T00:00:00-07:00 2013-03-19T00:00:00-07:00 2013-06239 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-19/pdf/2013-06239.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06158.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Address Order Handling Under the Options Order Protection and Locked/Crossed Market Plan, the Authority of the Exchange To Cancel Orders When a Technical or Systems Issue Occurs, and To Describe the Operation of Linkage Handler Error Accounts 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06158 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06158.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06157.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 To Reflect Regulatory Fees Related To the Central Registration Depository 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06157 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06157.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06156.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Reportable Position Reporting of Security Futures by Non-Trading Privilege Holders 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06156 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06156.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06155.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operation of Market Orders for BATS Options 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06155 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06155.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06153.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Chapter V, Section 3(d) and (e) 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06153 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06153.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06152.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Chapter V, Section 3(d) and (e) 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06152 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06152.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06150.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Exchange Rule 1047(f) and (g) for Limit Up/Limit Down Situations 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06150 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06150.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06121.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; International Securities Exchange, LLC; Order Granting Accelerated Approval of Proposed Rule Changes To Permit the Minimum Price Variation for Mini Options To Be the Same as Permitted for Standard Options on the Same Underlying Security 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06121 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06121.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06120.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Trading on BOX 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06120 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06120.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06119.html Notice - Renaissance Capital Greenwich Funds, et al.; Notice of Application 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06119 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06119.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06108.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Schedule of Fees and Charges for Exchange Services To Reduce the Floor Broker Rebate for Qualified Contingent Cross Transactions 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06108 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06108.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06088.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Clarify How the Exchange Will Treat a Market Maker's Quoting Obligations When the Underlying Equity Security Enters a Limit State or Straddle State 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06088 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06088.pdf https://regulations.justia.com/regulations/fedreg/2013/03/18/2013-06087.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Suspend Certain Market Maker Quotation Requirements and To Suspend Rule 720 Regarding Obvious Errors During Limit Up-Limit Down States in Securities That Underlie Options Traded on the ISE 2013-03-18T00:00:00-07:00 2013-03-18T00:00:00-07:00 2013-06087 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-18/pdf/2013-06087.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05894.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05894 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05894.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05893.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Connection With the Limit Up-Limit Down Plan 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05893 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05893.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05892.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules To Comply With the Requirements of the Plan To Address Extraordinary Market Volatility Submitted to the Commission Pursuant to Rule 608 of Regulation NMS 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05892 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05892.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05890.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to MSRB Form RTRS 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05890 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05890.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05889.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend the Obvious and Catastrophic Errors Rule 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05889 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05889.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05886.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Connection With the Limit Up-Limit Down Plan 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05886 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05886.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05885.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05885 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05885.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05884.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05884 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05884.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05883.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Governing Order Format and System Entry Requirements 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05883 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05883.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05882.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Governing Order Format and System Entry Requirements 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05882 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05882.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05881.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Fee Schedule Governing Order Routing for the NASDAQ OMX PSX Facility 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05881 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05881.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05879.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. 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05879 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05879.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05878.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Article 1, Rule 2 (Order Types and Conditions); Article 20, Rule 4 (Eligible Orders); and Article 20, Rule 6 (Locked and Crossed Markets) To Modify the Operation of the CHX Only Order Type and Post Only Order Modifier 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05878 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05878.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05877.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Regulation of Trading on BX Options, Section 6, Obvious Errors 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05877 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05877.pdf https://regulations.justia.com/regulations/fedreg/2013/03/14/2013-05866.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations 2013-03-14T00:00:00-07:00 2013-03-14T00:00:00-07:00 2013-05866 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-14/pdf/2013-05866.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05759.html Notice - Blackstone Alternative Investment Funds, et al.; Notice of Application 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05759 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05759.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05758.html Notice - Exchange Traded Concepts Trust, et al.; Notice of Application 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05758 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05758.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05754.html Notice - Proposed Collection Comment Request 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05754 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05754.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05753.html Notice - Submission for OMB Review Comment Request 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05753 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05753.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05751.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05751 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05751.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05749.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05749 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05749.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05743.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05743 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05743.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05742.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 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05742 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05742.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05741.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05741 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05741.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05740.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 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05740 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05740.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05735.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace the Current Mid-Point Test Applied to the Definition of Theoretical Price 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05735 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05735.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05734.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fee Schedule Governing Order Routing 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05734 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05734.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05719.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend FINRA Rule 2267 (Investor Education and Protection) 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05719 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05719.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05717.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of the Newfleet Multi-Sector Income ETF Under NYSE Arca Equities Rule 8.600 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05717 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05717.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05716.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Inc. Fee Schedule To Increase the Gross FOCUS Fee 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05716 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05716.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05715.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule for Trading on BOX 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05715 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05715.pdf https://regulations.justia.com/regulations/fedreg/2013/03/13/2013-05714.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Fee Schedule Governing Order Routing 2013-03-13T00:00:00-07:00 2013-03-13T00:00:00-07:00 2013-05714 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05714.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05762.html Notice - Sunshine Act Meeting 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05762 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05762.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05729.html Notice - In the Matter of: Endeavor Power Corp.; Order of Suspension of Trading 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05729 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05729.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05635.html Notice - Joint Industry Plan; Notice of Filing of the Third Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05635 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05635.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05634.html Notice - Order Granting a Temporary Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 From the Filing Deadline Specified in Rule 613(a)(1) of the Exchange Act 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05634 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05634.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05584.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05584 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05584.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05583.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 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05583 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05583.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05573.html Notice - Proposed Collection; Comment Request 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05573 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05573.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05572.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Clearing of Foreign Exchange Transactions 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05572 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05572.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05571.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify the BATS Options Market Maker Obligation Rule 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05571 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05571.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05570.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Require Members To Report to TRACE the “Factor” in Limited Instances Involving Asset-Backed Security Transactions 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05570 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05570.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05569.html Notice - Proposed Collection; Comment Request 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05569 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05569.pdf https://regulations.justia.com/regulations/fedreg/2013/03/12/2013-05568.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Establishing a Program for Managed Data Solutions (MDS) 2013-03-12T00:00:00-07:00 2013-03-12T00:00:00-07:00 2013-05568 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-12/pdf/2013-05568.pdf https://regulations.justia.com/regulations/fedreg/2013/03/11/2013-05567.html Notice - Xytos, Inc.; Order of Suspension of Trading 2013-03-11T00:00:00-07:00 2013-03-11T00:00:00-07:00 2013-05567 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-11/pdf/2013-05567.pdf https://regulations.justia.com/regulations/fedreg/2013/03/11/2013-05543.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt a Directed Order Process 2013-03-11T00:00:00-07:00 2013-03-11T00:00:00-07:00 2013-05543 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-11/pdf/2013-05543.pdf https://regulations.justia.com/regulations/fedreg/2013/03/11/2013-05539.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving 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 2013-03-11T00:00:00-07:00 2013-03-11T00:00:00-07:00 2013-05539 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-11/pdf/2013-05539.pdf https://regulations.justia.com/regulations/fedreg/2013/03/11/2013-05537.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Attestation Requirement of Rule 4780 To Allow a Retail Member Organization To Attest That “Substantially All” Orders Submitted to the Retail Price Improvement Program Will Qualify as “Retail Orders” 2013-03-11T00:00:00-07:00 2013-03-11T00:00:00-07:00 2013-05537 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-11/pdf/2013-05537.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05532.html Notice - Sunshine Act Meeting 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05532 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05532.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05454.html 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 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05454 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05454.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05424.html Notice - Cohen & Steers Real Assets Fund, Inc., et al.; Notice of Application 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05424 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05424.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05423.html Notice - The Advisors' Inner Circle Fund, et al.; Notice of Application 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05423 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05423.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05420.html Notice - Submission for OMB Review; Comment Request 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05420 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05420.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05419.html 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 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05419 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05419.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05418.html 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 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05418 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05418.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05417.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Long-Term Index Options 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05417 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05417.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05415.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 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05415 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05415.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05414.html 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 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05414 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05414.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05413.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Orders 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05413 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05413.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05412.html 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 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05412 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05412.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05409.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 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05409 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05409.pdf https://regulations.justia.com/regulations/fedreg/2013/03/08/2013-05408.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Mini Options 2013-03-08T00:00:00-08:00 2013-03-08T00:00:00-08:00 2013-05408 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-08/pdf/2013-05408.pdf https://regulations.justia.com/regulations/fedreg/2013/03/07/2013-05283.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding an Increase of CME Corporate Contribution to Interest Rate Swaps Financial Safeguards Package 2013-03-07T00:00:00-08:00 2013-03-07T00:00:00-08:00 2013-05283 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-07/pdf/2013-05283.pdf https://regulations.justia.com/regulations/fedreg/2013/03/07/2013-05282.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Acceptance of Additional Interest Rate Swaps for Clearing 2013-03-07T00:00:00-08:00 2013-03-07T00:00:00-08:00 2013-05282 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-07/pdf/2013-05282.pdf https://regulations.justia.com/regulations/fedreg/2013/03/07/2013-05247.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification 2013-03-07T00:00:00-08:00 2013-03-07T00:00:00-08:00 2013-05247 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-07/pdf/2013-05247.pdf https://regulations.justia.com/regulations/fedreg/2013/03/07/2013-05242.html Notice - Topaz Exchange, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 2013-03-07T00:00:00-08:00 2013-03-07T00:00:00-08:00 2013-05242 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-07/pdf/2013-05242.pdf https://regulations.justia.com/regulations/fedreg/2013/03/07/2013-05241.html Notice - Topaz Exchange, LLC; Order Granting Application for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act 2013-03-07T00:00:00-08:00 2013-03-07T00:00:00-08:00 2013-05241 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-07/pdf/2013-05241.pdf https://regulations.justia.com/regulations/fedreg/2013/03/07/2013-05238.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Order Type Called the Midpoint-Seeker Order and Amend Rule 11.3(c) Regarding Rounding of Sub-Penny Midpoint Executions 2013-03-07T00:00:00-08:00 2013-03-07T00:00:00-08:00 2013-05238 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-07/pdf/2013-05238.pdf https://regulations.justia.com/regulations/fedreg/2013/03/07/2013-05222.html Notice - Duties of Brokers, Dealers, and Investment Advisers 2013-03-07T00:00:00-08:00 2013-03-07T00:00:00-08:00 2013-05222 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-07/pdf/2013-05222.pdf https://regulations.justia.com/regulations/fedreg/2013/03/06/2013-05167.html Notice - Forward Funds, et al.; Notice of Application 2013-03-06T00:00:00-08:00 2013-03-06T00:00:00-08:00 2013-05167 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-06/pdf/2013-05167.pdf https://regulations.justia.com/regulations/fedreg/2013/03/06/2013-05166.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the MIAX Top of Market (“ToM”) Data Product 2013-03-06T00:00:00-08:00 2013-03-06T00:00:00-08:00 2013-05166 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-06/pdf/2013-05166.pdf https://regulations.justia.com/regulations/fedreg/2013/03/06/2013-05124.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Fourteen Series of the iShares Trust Under NYSE Arca Equities Rule 8.600 2013-03-06T00:00:00-08:00 2013-03-06T00:00:00-08:00 2013-05124 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-06/pdf/2013-05124.pdf https://regulations.justia.com/regulations/fedreg/2013/03/06/2013-05123.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Transaction Fees for Options on Treasury Securities 2013-03-06T00:00:00-08:00 2013-03-06T00:00:00-08:00 2013-05123 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-06/pdf/2013-05123.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05147.html Notice - Southern USA Resources, Inc., Order of Suspension of Trading 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-05147 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-05147.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05089.html Notice - Sunshine Act Meetings 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-05089 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-05089.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05026.html Notice - Triangle Capital Corporation; Notice of Application 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-05026 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-05026.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05019.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange's Facilities at 20 Broad Street and Amending NYSE Rule 6A, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor” 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-05019 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-05019.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05018.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relocating Certain Futures and Options Trading Conducted on ICE Futures U.S. From Rented Space at the New York Mercantile Exchange to the Exchange's Facilities at 20 Broad Street and Amending Rule 6A-Equities, Which Defines the Terms “Trading Floor” and “NYSE Amex Options Trading Floor” 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-05018 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-05018.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05012.html Notice - Market Vectors ETF Trust, et al.; Notice of Application 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-05012 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-05012.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05004.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in Connection With the Implementation of the National Market System Plan To Address Extraordinary Market Volatility 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-05004 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-05004.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-05003.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in Connection With the Implementation of the National Market System Plan To Address Extraordinary Market Volatility 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-05003 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-05003.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04993.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 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-04993 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-04993.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04992.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 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-04992 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-04992.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04991.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-04991 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-04991.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04990.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust and U.S. Equity High Volatility Put Write Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-04990 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-04990.pdf https://regulations.justia.com/regulations/fedreg/2013/03/05/2013-04931.html Rule - Adjustments to Civil Monetary Penalty Amounts 2013-03-05T00:00:00-08:00 2013-03-05T00:00:00-08:00 2013-04931 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-03-05/pdf/2013-04931.pdf https://regulations.justia.com/regulations/fedreg/2013/03/04/2013-04987.html Notice - Sunshine Act Meetings 2013-03-04T00:00:00-08:00 2013-03-04T00:00:00-08:00 2013-04987 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-04/pdf/2013-04987.pdf https://regulations.justia.com/regulations/fedreg/2013/03/04/2013-04917.html Notice - Public Availability of the Securities and Exchange Commission's FY 2012 Service Contract Inventory 2013-03-04T00:00:00-08:00 2013-03-04T00:00:00-08:00 2013-04917 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-04/pdf/2013-04917.pdf https://regulations.justia.com/regulations/fedreg/2013/03/04/2013-04857.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2 2013-03-04T00:00:00-08:00 2013-03-04T00:00:00-08:00 2013-04857 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-03-04/pdf/2013-04857.pdf