Securities and Exchange Commission April 18, 2013 – Federal Register Recent Federal Regulation Documents

Results 1 - 6 of 6
Proposed Collection; Comment Request
Document Number: 2013-09139
Type: Notice
Date: 2013-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09139.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending the Attestation Requirement of Rule 11.24 Allowing a Retail Member Organization To Attest That “Substantially All” Orders Submitted to The Retail Price Improvement Program Will Qualify as “Retail Orders”
Document Number: 2013-09123
Type: Notice
Date: 2013-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09123.html
The Royal Bank of Scotland plc, et al.; Notice of Application and Temporary Order
Document Number: 2013-09118
Type: Notice
Date: 2013-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to a guilty plea entered on April 12, 2013, by RBS Securities Japan Limited (the ``Settling Firm'') in the U.S. District Court for the District of Connecticut (``District Court'') in connection with a plea agreement between the Settling Firm and the U.S. Department of Justice (``DOJ''), until the Commission takes final action on an application for a permanent order. Applicants have also applied for a permanent order.
https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09118.html
Trust for Professional Managers and Aurora Investment Management L.L.C.; Notice of Application
Document Number: 2013-09099
Type: Notice
Date: 2013-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09099.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Suspend Certain Provisions in Rule 7170 Regarding Obvious Errors During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange on a Pilot Basis
Document Number: 2013-09098
Type: Notice
Date: 2013-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09098.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change To List Options on the Dow Jones FXCM Dollar Index
Document Number: 2013-09065
Type: Notice
Date: 2013-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09065.html
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