Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/04?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-04-24T21:25:27-07:00 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/2013/04/30/2013-10167.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Add a Moving Average Check for Incoming Market Orders and Marketable Limit Orders 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10167 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10167.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10151.html Notice - Proposed Collection; Comment Request 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10151 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10151.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10150.html Notice - Proposed Collection; Comment Request 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10150 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10150.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10149.html Notice - Proposed Collection; Comment Request 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10149 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10149.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10148.html Notice - Proposed Collection; Comment Request 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10148 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10148.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10147.html Notice - Proposed Collection; Comment Request 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10147 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10147.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10146.html Notice - Proposed Collection; Comment Request 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10146 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10146.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10144.html Notice - Proposed Collection; Comment Request 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10144 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10144.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10103.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Free Period for the Limit Up/Limit Down Band Lookup Add-On Service to TradeInfo Under Rule 7015(f) 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10103 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10103.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10102.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Limit Up/Limit Down Band Lookup Add-On Service to TradeInfo and Assess a Related Subscription Fee 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10102 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10102.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10079.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend FINRA Rule 2267 (Investor Education and Protection) 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10079 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10079.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10077.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the BBO Data Feed for CBOE Listed Options 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10077 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10077.pdf https://regulations.justia.com/regulations/fedreg/2013/04/30/2013-10051.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Deleting NYSE Rule 476(a)(8), Which Addresses Wash Sales, in Order To Harmonize the Exchange's Rules With the Rules of the Financial Industry Regulatory Authority 2013-04-30T00:00:00-07:00 2013-04-30T00:00:00-07:00 2013-10051 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10051.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10196.html Notice - Sunshine Act Meeting 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10196 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10196.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10195.html Notice - Sunshine Act Meeting 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10195 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10195.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10105.html Notice - Enercorp, Inc., FTS Group, Inc., Games, Inc. (n/k/a InQBate Corporation), Hartmarx Corporation (n/k/a XMH Corp. 1), and Penn Treaty American Corporation; Order of Suspension of Trading 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10105 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10105.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10032.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amended Application for Registration as a Clearing Agency; Correction 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00

2013-10032 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10032.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10026.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Mortgage-Backed Securities Division Rules Relating to Allocation of an Indemnity Claim Made in Connection With the Use of the Federal Reserve's National Settlement Service 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10026 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10026.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10025.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Amending the Mortgage-Backed Securities Division Fails Charge Rule To Reflect Recommendation of the Treasury Market Practice Group 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10025 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10025.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10019.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10019 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10019.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10018.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7170 To Clarify That the Exchange May Grant Obvious Error Relief in the Event of Unusual Circumstances 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10018 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10018.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10017.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Withdrawal of Proposed Rule Change Regarding Central Counterparty Resolution and Recovery Procedures 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10017 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10017.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10016.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend NYSE MKT Rule 104-Equities To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchange's Rules Governing the Ability of DMMs To Provide Market Information To Floor Brokers, and To Make Conforming Amendments to Other Rules 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10016 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10016.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10015.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending NYSE Rule 104 To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchange's Rules Governing the Ability of DMMs To Provide Market Information to Floor Brokers, and To Make Conforming Amendments to Other Rules 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10015 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10015.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-10014.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 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00 2013-10014 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-10014.pdf https://regulations.justia.com/regulations/fedreg/2013/04/29/2013-09931.html Notice - Credit Ratings Roundtable 2013-04-29T00:00:00-07:00 2013-04-29T00:00:00-07:00

2013-09931 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-29/pdf/2013-09931.pdf https://regulations.justia.com/regulations/fedreg/2013/04/25/2013-09773.html Notice - Proposed Collection; Comment Request 2013-04-25T00:00:00-07:00 2013-04-25T00:00:00-07:00 2013-09773 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-25/pdf/2013-09773.pdf https://regulations.justia.com/regulations/fedreg/2013/04/25/2013-09772.html Notice - Symetra Mutual Funds Trust, et al.; Notice of Application 2013-04-25T00:00:00-07:00 2013-04-25T00:00:00-07:00 2013-09772 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-25/pdf/2013-09772.pdf https://regulations.justia.com/regulations/fedreg/2013/04/25/2013-09770.html Notice - Self-Regulatory Organizations; BOX Options Exchange, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders 2013-04-25T00:00:00-07:00 2013-04-25T00:00:00-07:00 2013-09770 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-25/pdf/2013-09770.pdf https://regulations.justia.com/regulations/fedreg/2013/04/25/2013-09769.html Notice - Goldman Sachs Trust, et al.; Notice of Application 2013-04-25T00:00:00-07:00 2013-04-25T00:00:00-07:00 2013-09769 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-25/pdf/2013-09769.pdf https://regulations.justia.com/regulations/fedreg/2013/04/25/2013-09768.html Notice - Submission for OMB Review; Comment Request 2013-04-25T00:00:00-07:00 2013-04-25T00:00:00-07:00 2013-09768 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-25/pdf/2013-09768.pdf https://regulations.justia.com/regulations/fedreg/2013/04/25/2013-09766.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending C2 Rules Governing Letters of Guarantee and Authorization 2013-04-25T00:00:00-07:00 2013-04-25T00:00:00-07:00 2013-09766 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-25/pdf/2013-09766.pdf https://regulations.justia.com/regulations/fedreg/2013/04/25/2013-09765.html Notice - Submission for OMB Review; Comment Request 2013-04-25T00:00:00-07:00 2013-04-25T00:00:00-07:00 2013-09765 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-25/pdf/2013-09765.pdf https://regulations.justia.com/regulations/fedreg/2013/04/25/2013-09711.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-04-25T00:00:00-07:00 2013-04-25T00:00:00-07:00 2013-09711 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-25/pdf/2013-09711.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09681.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rules 507 and 1014 To Establish Remote Streaming Quote Trader Organizations 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09681 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09681.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09655.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 Increase Certain Complex Order Rebates 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09655 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09655.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09654.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 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09654 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09654.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09653.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Rebate Program 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09653 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09653.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09634.html Notice - John Hancock Exchange-Traded Fund Trust, et al.; Notice of Application 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09634 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09634.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09633.html Notice - Lincoln National Life Insurance Company, et al; Notice of Application 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09633 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09633.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09632.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09632.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09631.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 5250 (Payments for Market Making) 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09631.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09630.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require That Listed Companies Have an Internal Audit Function 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09630 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09630.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09629.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Routing Fees 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09629.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09628.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the BBO Data Feed for C2 Listed Options 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09628 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09628.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09627.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the BBO Data Feed for Securities Traded on the CBOE Stock Exchange 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09627 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09627.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09626.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Fourteen Series of the iShares Trust Under NYSE Arca Equities Rule 8.600 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09626 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09626.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09625.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval 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 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09625 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09625.pdf https://regulations.justia.com/regulations/fedreg/2013/04/24/2013-09624.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-04-24T00:00:00-07:00 2013-04-24T00:00:00-07:00 2013-09624 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-24/pdf/2013-09624.pdf https://regulations.justia.com/regulations/fedreg/2013/04/23/2013-09638.html Notice - In the Matter of the Estate Vault, Inc.; Order of Suspension of Trading 2013-04-23T00:00:00-07:00 2013-04-23T00:00:00-07:00 2013-09638 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-23/pdf/2013-09638.pdf https://regulations.justia.com/regulations/fedreg/2013/04/23/2013-09637.html Notice - Ewan 1, INC. n/k/a AccessKey IP, Inc.; Order of Suspension of Trading 2013-04-23T00:00:00-07:00 2013-04-23T00:00:00-07:00 2013-09637 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-23/pdf/2013-09637.pdf https://regulations.justia.com/regulations/fedreg/2013/04/23/2013-09636.html Notice - In the Matter of UC Hub Group, Inc.; Order of Suspension of Trading 2013-04-23T00:00:00-07:00 2013-04-23T00:00:00-07:00 2013-09636 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-23/pdf/2013-09636.pdf https://regulations.justia.com/regulations/fedreg/2013/04/23/2013-09635.html Notice - In the Matter of China Organic Agriculture, Inc. and Guilin Paper, Inc.; Order of Suspension of Trading 2013-04-23T00:00:00-07:00 2013-04-23T00:00:00-07:00 2013-09635 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-23/pdf/2013-09635.pdf https://regulations.justia.com/regulations/fedreg/2013/04/23/2013-09526.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 To Remove Certain Obsolete Text 2013-04-23T00:00:00-07:00 2013-04-23T00:00:00-07:00 2013-09526 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-23/pdf/2013-09526.pdf https://regulations.justia.com/regulations/fedreg/2013/04/23/2013-09525.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC (the “Company”) in Order To Reflect Changes to the Capital Structure of the Company 2013-04-23T00:00:00-07:00 2013-04-23T00:00:00-07:00 2013-09525 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-23/pdf/2013-09525.pdf https://regulations.justia.com/regulations/fedreg/2013/04/23/2013-09524.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market Order Collar for BATS Options 2013-04-23T00:00:00-07:00 2013-04-23T00:00:00-07:00 2013-09524 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-23/pdf/2013-09524.pdf https://regulations.justia.com/regulations/fedreg/2013/04/23/2013-09484.html Notice - Proposed Collection; Comment Request 2013-04-23T00:00:00-07:00 2013-04-23T00:00:00-07:00 2013-09484 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-23/pdf/2013-09484.pdf https://regulations.justia.com/regulations/fedreg/2013/04/22/2013-09344.html Notice - JPMorgan Chase & Co., et al.; Notice of Application 2013-04-22T00:00:00-07:00 2013-04-22T00:00:00-07:00 2013-09344 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-22/pdf/2013-09344.pdf https://regulations.justia.com/regulations/fedreg/2013/04/22/2013-09341.html Notice - Fidelity Merrimack Street Trust, et al.; Notice of Application 2013-04-22T00:00:00-07:00 2013-04-22T00:00:00-07:00 2013-09341 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-22/pdf/2013-09341.pdf https://regulations.justia.com/regulations/fedreg/2013/04/22/2013-09340.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the MIAX Fee Schedule 2013-04-22T00:00:00-07:00 2013-04-22T00:00:00-07:00 2013-09340 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-22/pdf/2013-09340.pdf https://regulations.justia.com/regulations/fedreg/2013/04/22/2013-09324.html Notice - Submission for OMB Review; Comment Request 2013-04-22T00:00:00-07:00 2013-04-22T00:00:00-07:00 2013-09324 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-22/pdf/2013-09324.pdf https://regulations.justia.com/regulations/fedreg/2013/04/22/2013-09322.html Notice - Submission for OMB Review; Comment Request 2013-04-22T00:00:00-07:00 2013-04-22T00:00:00-07:00 2013-09322 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-22/pdf/2013-09322.pdf https://regulations.justia.com/regulations/fedreg/2013/04/22/2013-09321.html Notice - Submission for OMB Review; Comment Request 2013-04-22T00:00:00-07:00 2013-04-22T00:00:00-07:00 2013-09321 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-22/pdf/2013-09321.pdf https://regulations.justia.com/regulations/fedreg/2013/04/19/2013-09355.html Notice - Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.); Order of Suspension of Trading 2013-04-19T00:00:00-07:00 2013-04-19T00:00:00-07:00 2013-09355 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-19/pdf/2013-09355.pdf https://regulations.justia.com/regulations/fedreg/2013/04/19/2013-09354.html Notice - In the Matter of NewTech Brake Corp., Order of Suspension of Trading 2013-04-19T00:00:00-07:00 2013-04-19T00:00:00-07:00 2013-09354 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-19/pdf/2013-09354.pdf https://regulations.justia.com/regulations/fedreg/2013/04/19/2013-09193.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund Under NYSE Arca Equities Rule 5.2(j)(3) 2013-04-19T00:00:00-07:00 2013-04-19T00:00:00-07:00 2013-09193 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-19/pdf/2013-09193.pdf https://regulations.justia.com/regulations/fedreg/2013/04/19/2013-09192.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Footnote 4 of the Exchange's Fee Schedule Regarding Retail Orders 2013-04-19T00:00:00-07:00 2013-04-19T00:00:00-07:00 2013-09192 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-19/pdf/2013-09192.pdf https://regulations.justia.com/regulations/fedreg/2013/04/19/2013-09191.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 2013-04-19T00:00:00-07:00 2013-04-19T00:00:00-07:00 2013-09191 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-19/pdf/2013-09191.pdf https://regulations.justia.com/regulations/fedreg/2013/04/19/2013-09190.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acquisition of the Kansas City Board of Trade Clearing Corporation 2013-04-19T00:00:00-07:00 2013-04-19T00:00:00-07:00 2013-09190 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-19/pdf/2013-09190.pdf https://regulations.justia.com/regulations/fedreg/2013/04/19/2013-09189.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Provide Relief for Floor Brokers From the Annual Telephone Line Charge for January, February and March 2013 2013-04-19T00:00:00-07:00 2013-04-19T00:00:00-07:00 2013-09189 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-19/pdf/2013-09189.pdf https://regulations.justia.com/regulations/fedreg/2013/04/19/2013-08830.html Rule - Identity Theft Red Flags Rules 2013-04-19T00:00:00-07:00 2013-04-19T00:00:00-07:00

2013-08830 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-04-19/pdf/2013-08830.pdf https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09139.html Notice - Proposed Collection; Comment Request 2013-04-18T00:00:00-07:00 2013-04-18T00:00:00-07:00 2013-09139 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-18/pdf/2013-09139.pdf https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09123.html Notice - 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” 2013-04-18T00:00:00-07:00 2013-04-18T00:00:00-07:00 2013-09123 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-18/pdf/2013-09123.pdf https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09118.html Notice - The Royal Bank of Scotland plc, et al.; Notice of Application and Temporary Order 2013-04-18T00:00:00-07:00 2013-04-18T00:00:00-07:00

2013-09118 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-18/pdf/2013-09118.pdf https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09099.html Notice - Trust for Professional Managers and Aurora Investment Management L.L.C.; Notice of Application 2013-04-18T00:00:00-07:00 2013-04-18T00:00:00-07:00 2013-09099 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-18/pdf/2013-09099.pdf https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09098.html Notice - 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 2013-04-18T00:00:00-07:00 2013-04-18T00:00:00-07:00 2013-09098 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-18/pdf/2013-09098.pdf https://regulations.justia.com/regulations/fedreg/2013/04/18/2013-09065.html Notice - 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 2013-04-18T00:00:00-07:00 2013-04-18T00:00:00-07:00 2013-09065 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-18/pdf/2013-09065.pdf https://regulations.justia.com/regulations/fedreg/2013/04/17/2013-08994.html Notice - Proposed Collection; Comment Request 2013-04-17T00:00:00-07:00 2013-04-17T00:00:00-07:00 2013-08994 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-17/pdf/2013-08994.pdf https://regulations.justia.com/regulations/fedreg/2013/04/17/2013-08978.html Notice - Submission for OMB Review; Comment Request 2013-04-17T00:00:00-07:00 2013-04-17T00:00:00-07:00 2013-08978 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-17/pdf/2013-08978.pdf https://regulations.justia.com/regulations/fedreg/2013/04/17/2013-08977.html Notice - Proposed Collection; Comment Request 2013-04-17T00:00:00-07:00 2013-04-17T00:00:00-07:00 2013-08977 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-17/pdf/2013-08977.pdf https://regulations.justia.com/regulations/fedreg/2013/04/17/2013-08976.html Notice - Submission for OMB Review; Comment Request 2013-04-17T00:00:00-07:00 2013-04-17T00:00:00-07:00 2013-08976 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-17/pdf/2013-08976.pdf https://regulations.justia.com/regulations/fedreg/2013/04/17/2013-08975.html Notice - Submission for OMB Review; Comment Request 2013-04-17T00:00:00-07:00 2013-04-17T00:00:00-07:00 2013-08975 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-17/pdf/2013-08975.pdf https://regulations.justia.com/regulations/fedreg/2013/04/17/2013-08974.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change With Respect to INAV Pegged Orders for ETFs 2013-04-17T00:00:00-07:00 2013-04-17T00:00:00-07:00 2013-08974 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-17/pdf/2013-08974.pdf https://regulations.justia.com/regulations/fedreg/2013/04/17/2013-08973.html Notice - Submission for OMB Review; Comment Request 2013-04-17T00:00:00-07:00 2013-04-17T00:00:00-07:00 2013-08973 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-17/pdf/2013-08973.pdf https://regulations.justia.com/regulations/fedreg/2013/04/17/2013-08972.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders 2013-04-17T00:00:00-07:00 2013-04-17T00:00:00-07:00 2013-08972 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-17/pdf/2013-08972.pdf https://regulations.justia.com/regulations/fedreg/2013/04/17/2013-08924.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amended Application for Registration as a Clearing Agency 2013-04-17T00:00:00-07:00 2013-04-17T00:00:00-07:00 2013-08924 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-17/pdf/2013-08924.pdf https://regulations.justia.com/regulations/fedreg/2013/04/16/C1-2013-07009.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 2013-04-16T00:00:00-07:00 2013-04-16T00:00:00-07:00 C1-2013-07009 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-16/pdf/C1-2013-07009.pdf https://regulations.justia.com/regulations/fedreg/2013/04/16/2013-08998.html Notice - Sunshine Act Meeting 2013-04-16T00:00:00-07:00 2013-04-16T00:00:00-07:00 2013-08998 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-16/pdf/2013-08998.pdf https://regulations.justia.com/regulations/fedreg/2013/04/16/2013-08866.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 28 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. 2013-04-16T00:00:00-07:00 2013-04-16T00:00:00-07:00 2013-08866 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-16/pdf/2013-08866.pdf https://regulations.justia.com/regulations/fedreg/2013/04/16/2013-08865.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rule 6.53 2013-04-16T00:00:00-07:00 2013-04-16T00:00:00-07:00 2013-08865 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-16/pdf/2013-08865.pdf https://regulations.justia.com/regulations/fedreg/2013/04/16/2013-08854.html Notice - Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC; Notice of Application 2013-04-16T00:00:00-07:00 2013-04-16T00:00:00-07:00 2013-08854 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-16/pdf/2013-08854.pdf https://regulations.justia.com/regulations/fedreg/2013/04/15/2013-08727.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to Regulatory Reporting of Swap Data 2013-04-15T00:00:00-07:00 2013-04-15T00:00:00-07:00 2013-08727 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-15/pdf/2013-08727.pdf https://regulations.justia.com/regulations/fedreg/2013/04/15/2013-08726.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving, on an Accelerated Basis, Proposed Rule Change Relating to Limit Up Limit Down Functionality 2013-04-15T00:00:00-07:00 2013-04-15T00:00:00-07:00 2013-08726 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-15/pdf/2013-08726.pdf https://regulations.justia.com/regulations/fedreg/2013/04/15/2013-08725.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Market-Maker Continuous Quoting Obligations 2013-04-15T00:00:00-07:00 2013-04-15T00:00:00-07:00 2013-08725 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-15/pdf/2013-08725.pdf https://regulations.justia.com/regulations/fedreg/2013/04/15/2013-08724.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options 2013-04-15T00:00:00-07:00 2013-04-15T00:00:00-07:00 2013-08724 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-15/pdf/2013-08724.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08746.html Notice - Sunshine Act Meeting 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08746 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08746.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08650.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 for Trading on BOX 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08650 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08650.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08613.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08613 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08613.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08612.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Accelerated Approval of a Proposed Rule Change To Address Obvious and Catastrophic Options Errors in Response to the Regulation NMS Plan To Address Extraordinary Market Volatility 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08612 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08612.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08611.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Accelerated Approval of a Proposed Rule Change Relating to Obvious Errors in Limit or Straddle States 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08611 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08611.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08609.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving, on an Accelerated Basis, 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 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08609 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08609.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08608.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 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08608 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08608.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08606.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08606 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08606.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08605.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08605 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08605.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08604.html Notice - Self-Regulatory Organizations; NYSE Arca LLC; Order Approving, on an Accelerated Basis, 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 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08604 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08604.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08603.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Market-Maker Continuous Quoting Obligations 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08603 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08603.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08557.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving, on an Accelerated Basis, Proposed Rule Change To Adopt New Exchange Rule 1047(f)(iv) Regarding Quoting Obligations 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08557 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08557.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08556.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving, on an Accelerated Basis, Proposed Rule Change To Modify the BATS Options Market Maker Obligation Rule 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08556 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08556.pdf https://regulations.justia.com/regulations/fedreg/2013/04/12/2013-08555.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving, on an Accelerated Basis, 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 2013-04-12T00:00:00-07:00 2013-04-12T00:00:00-07:00 2013-08555 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-12/pdf/2013-08555.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08632.html Notice - Order of Suspension of Trading; in the Matter of Integrity Bancshares, Inc. 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08632.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08488.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for the MIAX Top of Market (ToM) Data Product 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08488 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08488.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08487.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Administrative Information Subscriber (AIS) and AIS Port Fees 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08487 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08487.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08478.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving, on an Accelerated Basis, Proposed Rule Change To Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08478 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08478.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08477.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving, on an Accelerated Basis, Proposed Rule Change To Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08477 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08477.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08473.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08473 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08473.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08472.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Amending Its Rules To Reflect the Merger of NYSE Arca Holdings, Inc., An Intermediate Holding Company, Into and With NYSE Group, Inc., Thereby Eliminating NYSE Arca Holdings, Inc. From the Ownership Structure of the Exchange 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08472 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08472.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08471.html Notice - Self-Regulatory Organizations; International Securities Exchange LLC; Order Approving, on an Accelerated Basis, Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, 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 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08471 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08471.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08470.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 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08470 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08470.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08469.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 4120 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08469 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08469.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08468.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 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08468 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08468.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08467.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt and Amend Exchange Rules in Connection With Limit Up-Limit Down Plan 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08467 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08467.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08466.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Seventeenth Charges Amendment to the Second Restatement of the CTA Plan and Ninth Charges Amendment to the Restated CQ Plan 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08466 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08466.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08465.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. 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08465 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08465.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08464.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees for NYSE Arca Integrated Feed, NYSE ArcaBook, NYSE Arca Trades, and NYSE Arca BBO, and a Redistribution Fee for NYSE ArcaBook 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08464 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08464.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08444.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products (“ETPs”) Listed on the Exchange 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08444 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08444.pdf https://regulations.justia.com/regulations/fedreg/2013/04/11/2013-08425.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7018 To Establish Fees and Rebates in Connection With NASDAQ's Retail Price Improvement (“RPI”) Program 2013-04-11T00:00:00-07:00 2013-04-11T00:00:00-07:00 2013-08425 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-11/pdf/2013-08425.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08430.html Notice - Sunshine Act Meeting 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08430 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08430.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08427.html Notice - Sunshine Act Meeting 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08427 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08427.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08385.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 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08385 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08385.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08372.html Notice - SEC Advisory Committee on Small and Emerging Companies 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00

2013-08372 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08372.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08332.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08332 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08332.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08331.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Standard Options Transaction Fees 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08331 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08331.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08330.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Market Maker Peg Order Functionality 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08330 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08330.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08329.html Notice - Self-Regulatory Organizations; BATS-Y Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Market Maker Peg Order Functionality 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08329 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08329.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08328.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding Catastrophic Errors 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08328 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08328.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08327.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the International Bear ETF Under NYSE Arca Equities Rule 8.600 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08327 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08327.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08326.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE MKT Trades and NYSE MKT Realtime Reference Prices Market Data Products 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08326 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08326.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08325.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Certain Fees for the NYSE Arca Trades and NYSE Arca Realtime Reference Prices Market Data Products 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08325 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08325.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08324.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Certain Fees for the NYSE Trades and NYSE Realtime Reference Prices Market Data Products 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08324 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08324.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08323.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Customer and Industry Codes of Arbitration Procedure To Revise the Public Arbitrator Definition 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08323 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08323.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08322.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rule 11.24, Limit Up/Limit Down 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08322 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08322.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08321.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08321 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08321.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08320.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 1000 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08320 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08320.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08319.html Notice - TSC Distributors LLC and TSC UITS; Notice of Application 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08319 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08319.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08318.html Notice - Royce Value Trust, Inc., et al.; 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08318 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08318.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08317.html Notice - Royce Focus Trust, Inc., et al.; 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08317 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08317.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08308.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, Which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided To Investors Holding Securities in Street Name, and To Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08308 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08308.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08307.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Eliminate the Offset of Its Obligations With Institutional Delivery Transactions That Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08307 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08307.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08306.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice Filing to Eliminate the Offset of Its Obligations With Institutional Delivery Transactions That Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08306 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08306.pdf https://regulations.justia.com/regulations/fedreg/2013/04/10/2013-08249.html Notice - Joint Industry Plan; Order Approving 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. 2013-04-10T00:00:00-07:00 2013-04-10T00:00:00-07:00 2013-08249 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-10/pdf/2013-08249.pdf https://regulations.justia.com/regulations/fedreg/2013/04/09/2013-08316.html Notice - Sunshine Act Meeting 2013-04-09T00:00:00-07:00 2013-04-09T00:00:00-07:00 2013-08316 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-09/pdf/2013-08316.pdf https://regulations.justia.com/regulations/fedreg/2013/04/09/2013-08176.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing Certain Fees for NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO 2013-04-09T00:00:00-07:00 2013-04-09T00:00:00-07:00 2013-08176 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-09/pdf/2013-08176.pdf https://regulations.justia.com/regulations/fedreg/2013/04/09/2013-08141.html Rule - Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies 2013-04-09T00:00:00-07:00 2013-04-09T00:00:00-07:00

2013-08141 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-04-09/pdf/2013-08141.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08196.html Notice - Face Up Entertainment Group, Inc.; Order of Suspension of Trading 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08196 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08196.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08164.html Notice - Sunshine Act Meetings 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08164 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08164.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08107.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Amendments to CME Rule 980 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08107 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08107.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08100.html Notice - Order Temporarily Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08100 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08100.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08099.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Board of Director Qualifications 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08099 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08099.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08098.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Non-Display Usage Fees for NYSE OpenBook, NYSE Trades, and NYSE BBO and a Redistribution Fee for NYSE OpenBook 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08098 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08098.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08097.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change to Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08097 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08097.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08096.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Arca Trades Digital Media Data Feed and a Schedule of the NYSE Arca Equities Proprietary Market Data Fees 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08096 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08096.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08095.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Establish the NYSE MKT Trades Digital Media Data Feed and a Schedule of the NYSE MKT Equities Proprietary Market Data Fees 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08095 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08095.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08094.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Trades Digital Media Data Feed and a Schedule of the NYSE Proprietary Market Data Fees 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08094 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08094.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08093.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate a Fee for Use of FIX and OUCH Trading Ports for Testing 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08093 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08093.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08092.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees and Rebates for Mini Options 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08092 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08092.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08090.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Its FLEX Option No Minimum Value Size Pilot Program to March 28, 2014 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08090 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08090.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08089.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 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08089 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08089.pdf https://regulations.justia.com/regulations/fedreg/2013/04/08/2013-08088.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules to Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options, Currently Scheduled to Expire on March 29, 2013, Until March 31, 2014 2013-04-08T00:00:00-07:00 2013-04-08T00:00:00-07:00 2013-08088 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-08/pdf/2013-08088.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07984.html Notice - Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of FASB Accounting Support Fee for 2013 Under Section 109 of the Sarbanes-Oxley Act of 2002 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00 2013-07984 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07984.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07983.html Notice - Fixed Income Roundtable 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00

2013-07983 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07983.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07947.html Notice - Munder Series Trust, et al.; 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00

2013-07947 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07947.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07946.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00

2013-07946 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07946.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07945.html Notice - Submission for OMB Review; Comment Request 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00 2013-07945 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07945.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07944.html Notice - Submission for OMB Review; Comment Request 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00 2013-07944 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07944.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07943.html Notice - Submission for OMB Review; Comment Request 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00 2013-07943 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07943.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07942.html Notice - Submission for OMB Review; Comment Request 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00 2013-07942 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07942.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07941.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps) 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00 2013-07941 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07941.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07940.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 12140 (Imposition of Fines for Minor Rule Violations) 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00 2013-07940 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07940.pdf https://regulations.justia.com/regulations/fedreg/2013/04/05/2013-07939.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Routing Fees and the Customer Rebate Program 2013-04-05T00:00:00-07:00 2013-04-05T00:00:00-07:00 2013-07939 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07939.pdf https://regulations.justia.com/regulations/fedreg/2013/04/04/2013-07884.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 2013-04-04T00:00:00-07:00 2013-04-04T00:00:00-07:00 2013-07884 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-04/pdf/2013-07884.pdf https://regulations.justia.com/regulations/fedreg/2013/04/03/2013-07729.html Notice - Sage Quant Management LLC, et al.; Notice of Application 2013-04-03T00:00:00-07:00 2013-04-03T00:00:00-07:00

2013-07729 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-03/pdf/2013-07729.pdf https://regulations.justia.com/regulations/fedreg/2013/04/03/2013-07724.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Option Trading Rules To Extend the Operation of Its Pilot Program Regarding Minimum Value Sizes for Flexible Exchange Options Until March 31, 2014 2013-04-03T00:00:00-07:00 2013-04-03T00:00:00-07:00 2013-07724 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-03/pdf/2013-07724.pdf https://regulations.justia.com/regulations/fedreg/2013/04/03/2013-07723.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cambria Shareholder Yield ETF Pursuant to NYSE Arca Equities Rule 8.600 2013-04-03T00:00:00-07:00 2013-04-03T00:00:00-07:00 2013-07723 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-03/pdf/2013-07723.pdf https://regulations.justia.com/regulations/fedreg/2013/04/03/2013-07718.html Notice - Dodd-Frank Investor Advisory Committee 2013-04-03T00:00:00-07:00 2013-04-03T00:00:00-07:00

2013-07718 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-03/pdf/2013-07718.pdf https://regulations.justia.com/regulations/fedreg/2013/04/03/2013-07717.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Response to Comments Submitted After the Issuance on December 14, 2012, of a Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 To List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 2013-04-03T00:00:00-07:00 2013-04-03T00:00:00-07:00 2013-07717 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-03/pdf/2013-07717.pdf https://regulations.justia.com/regulations/fedreg/2013/04/03/2013-07713.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Withdrawal of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology 2013-04-03T00:00:00-07:00 2013-04-03T00:00:00-07:00 2013-07713 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-03/pdf/2013-07713.pdf https://regulations.justia.com/regulations/fedreg/2013/04/03/2013-07712.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Deadline for Submission of Claims Under NASDAQ Rule 4626(b)(3) 2013-04-03T00:00:00-07:00 2013-04-03T00:00:00-07:00 2013-07712 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-03/pdf/2013-07712.pdf https://regulations.justia.com/regulations/fedreg/2013/04/03/2013-07711.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Relating to Amendments to MSRB Rules G-37 and G-8 and Form G-37 2013-04-03T00:00:00-07:00 2013-04-03T00:00:00-07:00 2013-07711 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-03/pdf/2013-07711.pdf https://regulations.justia.com/regulations/fedreg/2013/04/02/2013-07620.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Amex Options Fee Schedule To Establish Fees for Mini-Options Contracts 2013-04-02T00:00:00-07:00 2013-04-02T00:00:00-07:00 2013-07620 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-02/pdf/2013-07620.pdf https://regulations.justia.com/regulations/fedreg/2013/04/02/2013-07619.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule To Establish Fees for Mini-Options Contracts 2013-04-02T00:00:00-07:00 2013-04-02T00:00:00-07:00 2013-07619 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-02/pdf/2013-07619.pdf https://regulations.justia.com/regulations/fedreg/2013/04/02/2013-07591.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-04-02T00:00:00-07:00 2013-04-02T00:00:00-07:00 2013-07591 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-02/pdf/2013-07591.pdf https://regulations.justia.com/regulations/fedreg/2013/04/02/2013-07588.html Notice - Stetson Capital Fund LP and Davis Polk & Wardwell LLP; Notice of Application 2013-04-02T00:00:00-07:00 2013-04-02T00:00:00-07:00 2013-07588 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-02/pdf/2013-07588.pdf https://regulations.justia.com/regulations/fedreg/2013/04/02/2013-07586.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale 2013-04-02T00:00:00-07:00 2013-04-02T00:00:00-07:00 2013-07586 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-02/pdf/2013-07586.pdf https://regulations.justia.com/regulations/fedreg/2013/04/02/2013-07585.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the SPDR Blackstone/GSO Senior Loan ETF Under NYSE Arca Equities Rule 8.600 2013-04-02T00:00:00-07:00 2013-04-02T00:00:00-07:00 2013-07585 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-02/pdf/2013-07585.pdf https://regulations.justia.com/regulations/fedreg/2013/04/02/2013-07583.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, To Update Chapter 26 and Remove Schedule 502 of the ICE Clear Credit Rules 2013-04-02T00:00:00-07:00 2013-04-02T00:00:00-07:00 2013-07583 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-02/pdf/2013-07583.pdf https://regulations.justia.com/regulations/fedreg/2013/04/02/2013-07548.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-04-02T00:00:00-07:00 2013-04-02T00:00:00-07:00 2013-07548 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-02/pdf/2013-07548.pdf https://regulations.justia.com/regulations/fedreg/2013/04/01/2013-07637.html Notice - Sunshine Act Meeting 2013-04-01T00:00:00-07:00 2013-04-01T00:00:00-07:00 2013-07637 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-01/pdf/2013-07637.pdf https://regulations.justia.com/regulations/fedreg/2013/04/01/2013-07477.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Trading QCC and PIXL Orders in Mini Options 2013-04-01T00:00:00-07:00 2013-04-01T00:00:00-07:00 2013-07477 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-01/pdf/2013-07477.pdf https://regulations.justia.com/regulations/fedreg/2013/04/01/2013-07476.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-5050-10 (Mini Options Contracts) 2013-04-01T00:00:00-07:00 2013-04-01T00:00:00-07:00 2013-07476 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-01/pdf/2013-07476.pdf https://regulations.justia.com/regulations/fedreg/2013/04/01/2013-07475.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Mini Options 2013-04-01T00:00:00-07:00 2013-04-01T00:00:00-07:00 2013-07475 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-04-01/pdf/2013-07475.pdf