Securities and Exchange Commission May 21, 2013 – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change to Its Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX
Document Number: 2013-12049
Type: Notice
Date: 2013-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12049.html
ALPS ETF Trust, et al.;
Document Number: 2013-12042
Type: Notice
Date: 2013-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) actively-managed series of certain open-end management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares.
https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12042.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 29 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.
Document Number: 2013-12041
Type: Notice
Date: 2013-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12041.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Options
Document Number: 2013-12040
Type: Notice
Date: 2013-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12040.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Document Number: 2013-12039
Type: Notice
Date: 2013-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12039.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Listing Standards for Equity Index-Linked Securities in NYSE Arca Equities Rule 5.2(j)(6)
Document Number: 2013-12038
Type: Notice
Date: 2013-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12038.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc ; Notice of Filing of Proposed Rule Change for Permanent Approval of a Pilot To Permit BX Options To Accept Inbound Options Orders From NASDAQ OMX PHLX LLC and NASDAQ Options Services LLC
Document Number: 2013-12035
Type: Notice
Date: 2013-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12035.html
Adoption of Updated EDGAR Filer Manual
Document Number: 2013-11921
Type: Rule
Date: 2013-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to implement the new Form 13F online application and to support US GAAP 2013 Taxonomy. The EDGAR system is scheduled to be upgraded to support this functionality on May 20, 2013.
https://regulations.justia.com/regulations/fedreg/2013/05/21/2013-11921.html
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