Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-25T20:37:11-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13031.htmlNotice - Sunshine Act Meeting.2013-05-31T00:00:00-07:002013-05-31T00:00:00-07:002013-13031Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-13031.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13030.htmlNotice - Sunshine Act Meeting2013-05-31T00:00:00-07:002013-05-31T00:00:00-07:002013-13030Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-13030.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/31/2013-13029.htmlNotice - Sunshine Act Meeting.2013-05-31T00:00:00-07:002013-05-31T00:00:00-07:002013-13029Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-13029.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12992.htmlNotice - Jupiter Enterprises, Inc., Order of Suspension of Trading2013-05-31T00:00:00-07:002013-05-31T00:00:00-07:002013-12992Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-12992.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12991.htmlNotice - China Properties Developments, Inc.; Order of Suspension of Trading2013-05-31T00:00:00-07:002013-05-31T00:00:00-07:002013-12991Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-12991.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12989.htmlNotice - China Environmental Protection, Inc., Order of Suspension of Trading2013-05-31T00:00:00-07:002013-05-31T00:00:00-07:002013-12989Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-12989.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/31/2013-12896.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Add a Moving Average Check for Incoming Market Orders and Marketable Limit Orders2013-05-31T00:00:00-07:002013-05-31T00:00:00-07:002013-12896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-31/pdf/2013-12896.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12850.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed Rule Change To Amend MSRB Rule G-39, on Telemarketing2013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12850.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12847.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rules Regarding the Trading of XSP Options2013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12847Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12847.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12846.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of the First Trust Morningstar Futures Strategy Fund Under NYSE Arca Equities Rule 8.6002013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12846Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12846.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12821.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio Under NYSE Arca Equities Rule 8.6002013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12821Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12821.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12818.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Routing Option, MOPB, Under Rule 4758(a)(1)(A)2013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12818Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12818.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12798.htmlNotice - Collection of Information; Comment Request2013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12798.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12797.htmlNotice - ASA Gold and Precious Metals Limited; Notice of Application2013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12797.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12796.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rule 6.422013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12796.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12795.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $0.50 and $1 Strike Price Intervals for Classes in the Short Term Option Series Program2013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12795Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12795.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12794.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and To Make Related Clarifications to Rule Text2013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12794Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12794.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/30/2013-12725.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Disapprove 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 Platform2013-05-30T00:00:00-07:002013-05-30T00:00:00-07:002013-12725Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-30/pdf/2013-12725.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/29/2013-12704.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, to Clear Contracts Traded on the LIFFE Administration and Management Market2013-05-29T00:00:00-07:002013-05-29T00:00:00-07:002013-12704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-29/pdf/2013-12704.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/29/2013-12659.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs2013-05-29T00:00:00-07:002013-05-29T00:00:00-07:002013-12659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-29/pdf/2013-12659.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/29/2013-12637.htmlNotice - ProShares Advisors LLC, et al.; Notice of Application2013-05-29T00:00:00-07:002013-05-29T00:00:00-07:002013-12637Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-29/pdf/2013-12637.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12677.htmlNotice - Greatmat Technology Corp., Kentucky USA Energy, Inc., Solar Energy Ltd., and Visiphor Corp., Order of Suspension of Trading2013-05-28T00:00:00-07:002013-05-28T00:00:00-07:002013-12677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12677.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12548.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Establish a Lead Market Maker Program on the NASDAQ OMX PSX Market and To Make Related Changes to the Schedule Fees and Rebates for Execution of Quotes and Orders2013-05-28T00:00:00-07:002013-05-28T00:00:00-07:002013-12548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12548.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12533.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the EDGX Exchange, Inc.'s Routing Broker Dealer, as Described in EDGX Rule 2.12(b)2013-05-28T00:00:00-07:002013-05-28T00:00:00-07:002013-12533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12533.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12532.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the EDGA Exchange, Inc.'s Routing Broker Dealer, as Described in EDGA Rule 2.12(b)2013-05-28T00:00:00-07:002013-05-28T00:00:00-07:002013-12532Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12532.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/28/2013-12486.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Board of Director Qualifications2013-05-28T00:00:00-07:002013-05-28T00:00:00-07:002013-12486Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12486.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12629.htmlNotice - Sunshine Act Meeting2013-05-24T00:00:00-07:002013-05-24T00:00:00-07:002013-12629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12629.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12555.htmlNotice - Bloggerwave, Inc., Cardima, Inc. (n/k/a CLI Liquidating Corporation), Innuity, Inc., Kaleidoscope Venture Capital, Inc., Lipid Sciences, Inc., Radix Marine, Inc., SBS Interactive Co., and VersaTech, Inc. (n/k/a VersaTech USA), Order of Suspension of Trading2013-05-24T00:00:00-07:002013-05-24T00:00:00-07:002013-12555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12555.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12438.htmlNotice - Self-Regulatory Organizations; NYSE Arca Inc.; Order Granting Approval of Proposed Rule Change, Modified by Amendment No. 1, Amending Rule 6.87 In Part and Adding a New Section To Address Errors That Involve Complex Orders2013-05-24T00:00:00-07:002013-05-24T00:00:00-07:002013-12438Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12438.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12437.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3306 and Rule 3303 To Stipulate How Participants in NASDAQ OMX PSX May Modify Previously Entered Orders and To Describe How Modified Orders Are Processed2013-05-24T00:00:00-07:002013-05-24T00:00:00-07:002013-12437Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12437.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12407.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4751(f)(15)2013-05-24T00:00:00-07:002013-05-24T00:00:00-07:002013-12407Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12407.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12405.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 975NY In Part and Adding a New Section To Address Errors That Involve Complex Orders2013-05-24T00:00:00-07:002013-05-24T00:00:00-07:002013-12405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12405.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/24/2013-12404.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Extension of Review Period of Advance Notice, as Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources To Meet Its Liquidity Needs2013-05-24T00:00:00-07:002013-05-24T00:00:00-07:002013-12404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-24/pdf/2013-12404.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12289.htmlProposed Rule - Regulation Systems Compliance and Integrity2013-05-23T00:00:00-07:002013-05-23T00:00:00-07:002013-12289Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-12289.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12268.htmlNotice - Frank Russell Company, et al.; Notice of Application2013-05-23T00:00:00-07:002013-05-23T00:00:00-07:002013-12268Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-12268.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12267.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice To Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday2013-05-23T00:00:00-07:002013-05-23T00:00:00-07:002013-12267Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-12267.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/23/2013-12266.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Include Options on Interest Rate Futures Contracts With Maturities Not Longer Than Two Years in the One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC2013-05-23T00:00:00-07:002013-05-23T00:00:00-07:002013-12266Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-12266.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/23/2013-10836.htmlProposed Rule - Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps2013-05-23T00:00:00-07:002013-05-23T00:00:00-07:002013-10836Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-10836.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/23/2013-10835.htmlProposed Rule - Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants2013-05-23T00:00:00-07:002013-05-23T00:00:00-07:002013-10835Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-23/pdf/2013-10835.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12189.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program To Allow Cabinet Trading To Take Place Below $1 per Option Contract2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12189Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12189.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12169.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Create a New Fee Structure for Complex Orders on the BOX Market LLC Options Facility2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12169Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12169.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12168.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fee Schedule To Establish Fees for Jumbo SPY Option Transactions2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12168Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12168.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12167.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Fees Related to Certain Corporate Action Events2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12167Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12167.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12166.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Related to Portfolio Composition File Reporting in Addendum A of Its Rules and Procedures2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12166.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12165.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Accommodate the Use of Vault Receipts or Warehouse Depository Receipts in Electronic Form, Rather Than Vault Receipts or Warehouse Depository Receipts in Physical Form, To Represent the Metals Underlying Physically-Settled Futures Contracts on Metals Traded by NYSE Liffe US LLC2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12165.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12164.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12164.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12163.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Eighteenth Charges Amendment To the Second Restatement of the CTA Plan and Tenth Charges Amendment To the Restated CQ Plan2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12163.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12162.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade the International Bear ETF Under NYSE Arca Equities Rule 8.6002013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12162.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12161.htmlNotice - 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.2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12161.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12159.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change Proposing an Amendment to the Bylaws of Its Wholly-Owned Subsidiary, NYSE Regulation, Inc. (“NYSE Regulation”), To Eliminate a Requirement That Not Less Than Two Members of the Board of Directors of NYSE Regulation Must Qualify as “Fair Representation Candidates”2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12159Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12159.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12150.htmlNotice - Submission for OMB Review; Comment Request2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12150Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12150.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12149.htmlNotice - Submission for OMB Review; Comment Request2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12149Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12149.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12148.htmlNotice - Submission for OMB Review; Comment Request2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12148Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12148.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12147.htmlNotice - Submission for OMB Review; Comment Request2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12147.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12146.htmlNotice - LocalShares Investment Trust, et al.; Notice of Application2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12146.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/22/2013-12144.htmlNotice - Financial Investors Trust and Hanson McClain Strategic Advisors, Inc.; Notice of Application2013-05-22T00:00:00-07:002013-05-22T00:00:00-07:002013-12144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-22/pdf/2013-12144.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12049.htmlNotice - 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 PSX2013-05-21T00:00:00-07:002013-05-21T00:00:00-07:002013-12049Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12049.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12042.htmlNotice - ALPS ETF Trust, et al.;2013-05-21T00:00:00-07:002013-05-21T00:00:00-07:002013-12042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12042.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12041.htmlNotice - 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.2013-05-21T00:00:00-07:002013-05-21T00:00:00-07:002013-12041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12041.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12040.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to FLEX Options2013-05-21T00:00:00-07:002013-05-21T00:00:00-07:002013-12040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12040.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12039.htmlNotice - 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.2013-05-21T00:00:00-07:002013-05-21T00:00:00-07:002013-12039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12039.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12038.htmlNotice - 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)2013-05-21T00:00:00-07:002013-05-21T00:00:00-07:002013-12038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12038.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/21/2013-12035.htmlNotice - 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 LLC2013-05-21T00:00:00-07:002013-05-21T00:00:00-07:002013-12035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-12035.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/21/2013-11921.htmlRule - Adoption of Updated EDGAR Filer Manual2013-05-21T00:00:00-07:002013-05-21T00:00:00-07:002013-11921Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-21/pdf/2013-11921.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11918.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-Time2013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11918Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11918.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11899.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11899.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11898.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule2013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11898Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11898.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11897.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust Pursuant to NYSE Arca Equities Rule 8.2002013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11897.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11896.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11896.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11894.htmlNotice - Proposed Collection; Comment Request2013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11894.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11893.htmlNotice - Proposed Collection; Comment Request2013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11893.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11892.htmlNotice - ERNY Financial ETF Trust and ERNY Financial Advisors, LLC; Notice of Application2013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11892.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11891.htmlNotice - Proposed Collection; Comment Request2013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11891.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/20/2013-11878.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material2013-05-20T00:00:00-07:002013-05-20T00:00:00-07:002013-11878Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-20/pdf/2013-11878.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11963.htmlNotice - Sunshine Act Meeting.2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11963.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11917.htmlNotice - Avani International Group, Inc., Birch Mountain Resources Ltd., Capital Reserve Canada Ltd., Dynasty Gaming, Inc. (n/k/a Blue Zen Memorial Parks, Inc.), IXI Mobile, Inc., Laureate Resources & Steel Industries Inc., Millennium Energy Corp., Shannon International, Inc., and Welwind Energy International Corporation; Order of Suspension of Trading2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11917Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11917.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11916.htmlNotice - Benda Pharmaceutical, Inc. and China Shuangjii Cement Ltd., Order of Suspension of Trading2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11916.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11915.htmlNotice - In the Matter of Griffin Mining, Inc., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc.; Order of Suspension of Trading2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11915.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11784.htmlNotice - Submission for OMB Review; Comment Request2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11784Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11784.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11775.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Pilot Restrictions From NASDAQ's Qualified Market Maker and NBBO Setter Incentive Programs, and To Make Other Changes to NASDAQ's Schedule of Fees and Credits2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11775.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11760.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding an Expansion of CME Clearing's Category 3 Collateral Limits2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11760Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11760.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11759.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Proposing To: (i) Delete the Sections in the Listed Company Manual (the “Manual”) Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials That Will Be Posted on the Exchange's Web Site; and (ii) Adopt as New Rules Certain Provisions That Are Currently Included in the Various Forms of Agreements That Are in the Manual, as Well as Some Additional New Rules That Make Explicit Existing Exchange Policies With Respect to Initial Listings2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11759Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11759.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11758.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11758.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11733.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 To Adopt a Modification in the Process for Initiating Trading of a Security That Is the Subject of a Trading Halt or Pause on NASDAQ2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11733Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11733.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/17/2013-11714.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Change, as Modified by Amendment No. 1, To Require Members To Report OTC Equity Transactions as Soon as Practicable, But No Later Than 10 Seconds, Following Execution2013-05-17T00:00:00-07:002013-05-17T00:00:00-07:002013-11714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-17/pdf/2013-11714.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11676.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Complex Order Router Subsidy Program2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11676Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11676.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11636.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options and Non-Penny Pilot Options2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11636Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11636.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11635.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Arca Options Market Data2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11635.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11634.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Non-Display Usage Fees and Amending the Professional End-User Fees for NYSE Amex Options Market Data2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11634.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11625.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to Exchange Trading Days and Hours of Business and Trading Halts2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11625.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11624.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Mini Options2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11624.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11623.htmlNotice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule Governing the Anti-Money Laundering Compliance Program2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11623.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11622.htmlNotice - Proposed Collection; Comment Request2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11622.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11621.htmlNotice - Proposed Collection; Comment Request2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11621.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11620.htmlNotice - Proposed Collection; Comment Request2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11620Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11620.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11605.htmlNotice - CPG Carlyle Private Equity Fund, LLC, et al.; Notice of Application2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11605.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11604.htmlNotice - FS Investment Corporation, et al.; Notice of Application2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11604.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11603.htmlNotice - Self-Regulatory Organizations; The Depository Trusts Company; Notice of Filing and No Objection To Advance Notice To Renew Its Existing Credit Facility2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11603Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11603.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/16/2013-11597.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and No Objection To Advance Notice To Renew Its Existing Credit Facility2013-05-16T00:00:00-07:002013-05-16T00:00:00-07:002013-11597Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11597.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11558.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct BX Rule 2140(c)2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11558.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11523.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Rules 5050, 7050, and 72402013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11523Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11523.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11521.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11521Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11521.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11520.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Sections of the Exchange's Pricing Schedule2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11520Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11520.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11519.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees and Rebates Applicable to Qualified Contingent Cross Orders2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11519.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11518.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11518Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11518.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11517.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change Relating to Recovery and Resolution Arrangements2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11517Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11517.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11508.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11508.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11502.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend and Restate the Amended and Restated By-Laws of BATS Y-Exchange, Inc.2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11502Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11502.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11500.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend and Restate the Amended and Restated By-Laws of BATS Exchange, Inc.2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11500.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11453.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Consolidate All CHX Order Types, Modifiers, and Related Terms Under One Rule and to Clarify the Basic Requirements of All Orders Sent to the Matching System2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11453.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11452.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Trading Permit Holder Business Continuity Plans2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11452Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11452.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/15/2013-11407.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Delivery Procedures To Reflect the Clearing Relationship for ICE Futures Europe2013-05-15T00:00:00-07:002013-05-15T00:00:00-07:002013-11407Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-15/pdf/2013-11407.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11369.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Exchange Rule 9.212013-05-14T00:00:00-07:002013-05-14T00:00:00-07:002013-11369Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11369.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11368.htmlNotice - 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 Schedule2013-05-14T00:00:00-07:002013-05-14T00:00:00-07:002013-11368Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11368.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11367.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Fees Assessed Under Rule 7015(h)2013-05-14T00:00:00-07:002013-05-14T00:00:00-07:002013-11367Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11367.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11366.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Add Provisions to the By-Laws To Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members2013-05-14T00:00:00-07:002013-05-14T00:00:00-07:002013-11366Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11366.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/14/2013-11359.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.74A2013-05-14T00:00:00-07:002013-05-14T00:00:00-07:002013-11359Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-14/pdf/2013-11359.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/13/2013-11358.htmlNotice - Sunshine Act Meeting2013-05-13T00:00:00-07:002013-05-13T00:00:00-07:002013-11358Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-13/pdf/2013-11358.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/13/2013-11224.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11(a)(6)(C) To Add Inside Limit Orders as Eligible for Repricing Instructions2013-05-13T00:00:00-07:002013-05-13T00:00:00-07:002013-11224Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-13/pdf/2013-11224.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11238.htmlNotice - Order of Suspension of Trading in the Matter of CoreCare Systems, Inc., Forticell Bioscience, Inc., Michelex Corporation, and Rx for Africa, Inc.2013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11238.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11176.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Amex Options Proprietary Market Data Fees2013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11176.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11175.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend BX Rule 4756 and Rule 4763 To Stipulate How Participants in the NASDAQ OMX BX Equities Market May Modify Previously Entered Orders and To Describe How Modified Orders Are Processed2013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11175Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11175.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11174.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing a Schedule of the NYSE Arca Options Proprietary Market Data Fees2013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11174Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11174.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11173.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Its Schedule of Fees and Rebates for Execution of Orders for Securities Priced at $1 or More Under Rule 70182013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11173Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11173.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11172.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Adopt a New Order Type Called the “Auto-Ex Only” Order and Add New Definitions Regarding Automatic Execution Mode and Automatic Execution Orders2013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11172Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11172.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11146.htmlNotice - Forum Investment Advisors, LLC, et al.;2013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11146.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11145.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASDAQ Rule 47632013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11145Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11145.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11141.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Priority Customer Size2013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11141Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11141.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11140.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7170 (Obvious and Catastrophic Errors)2013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11140.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/10/2013-11082.htmlNotice - Credit Ratings Roundtable2013-05-10T00:00:00-07:002013-05-10T00:00:00-07:002013-11082Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-10/pdf/2013-11082.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11019.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products (“ETPs”) Listed on the Exchange2013-05-09T00:00:00-07:002013-05-09T00:00:00-07:002013-11019Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11019.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11018.htmlNotice - 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 Schedule2013-05-09T00:00:00-07:002013-05-09T00:00:00-07:002013-11018Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11018.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11017.htmlNotice - 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 Schedule2013-05-09T00:00:00-07:002013-05-09T00:00:00-07:002013-11017Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11017.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11004.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval to Proposed Rule Changes Amending the Attestation Requirement of Rule 107C (NYSE) and 107C-Equities (NYSE MKT) To Allow a Retail Member Organization To Attest That “Substantially All” Orders Submitted to the Retail Liquidity Program Will Qualify as “Retail Orders”2013-05-09T00:00:00-07:002013-05-09T00:00:00-07:002013-11004Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11004.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11003.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Provide for the Manner in Which Mini Options Will Trade as a Complex Order Pursuant to BOX Rule 72402013-05-09T00:00:00-07:002013-05-09T00:00:00-07:002013-11003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11003.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11002.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Granting Approval of Proposed Rule Change To List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund2013-05-09T00:00:00-07:002013-05-09T00:00:00-07:002013-11002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11002.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11001.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Remote Streaming Quote Trader Fees and Reference a Remote Streaming Quote Trader Organization2013-05-09T00:00:00-07:002013-05-09T00:00:00-07:002013-11001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11001.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/09/2013-11000.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow All Lead Market Makers To Receive Directed Orders2013-05-09T00:00:00-07:002013-05-09T00:00:00-07:002013-11000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-09/pdf/2013-11000.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10902.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Schedule of Fees and Charges for Exchange Services To Amend Step Up Tier 2 to Reduce the Volume Threshold Requirements Needed To Be Eligible for The Tier2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10902Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10902.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10901.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10901.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10900.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Expand the Availability of Self-Trade Prevention Modifiers2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10900.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10890.htmlNotice - Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc.; Notice of Application2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10890Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10890.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10876.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Trading Ahead of Customer Orders and Best Execution and Interpositioning Requirements2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10876Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10876.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10875.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Application and Initiation Fees in Certain Circumstances2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10875.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10874.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit NOM To Accept Inbound Options Orders From NASDAQ OMX BX, Inc.2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10874Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10874.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10873.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change for the Permanent Approval of the Exchange's Pilot Program To Permit the Exchange To Accept Inbound Options Orders Routed by Nasdaq Options Services LLC From NASDAQ OMX BX, Inc.2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10873.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10871.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of Proposed Rule Change in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA)2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10871.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10848.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA)2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10848Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10848.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/08/2013-10847.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection With the Implementation of the Foreign Account Tax Compliance Act (FATCA)2013-05-08T00:00:00-07:002013-05-08T00:00:00-07:002013-10847Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10847.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10936.htmlNotice - Sunshine Act Meeting2013-05-07T00:00:00-07:002013-05-07T00:00:00-07:002013-10936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10936.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10799.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fingerprint-Based Background Checks of Exchange Directors, Officers, Employees and Others2013-05-07T00:00:00-07:002013-05-07T00:00:00-07:002013-10799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10799.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10742.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule To Modify the Existing Floor Broker Rebate for Executed Qualified Contingent Cross Orders2013-05-07T00:00:00-07:002013-05-07T00:00:00-07:002013-10742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10742.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10741.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Fee Schedule for Firms To Increase the Transaction Fee for Certain Proprietary Electronic Executions and To Introduce Volume-Based Tiers for Certain Proprietary Electronic Executions2013-05-07T00:00:00-07:002013-05-07T00:00:00-07:002013-10741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10741.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10740.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Raise the Take Liquidity Fee for Firm and Broker Dealer Electronic Executions in Penny Pilot Issues2013-05-07T00:00:00-07:002013-05-07T00:00:00-07:002013-10740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10740.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10704.htmlNotice - 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 Schedule2013-05-07T00:00:00-07:002013-05-07T00:00:00-07:002013-10704Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10704.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/07/2013-10703.htmlNotice - 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 Schedule2013-05-07T00:00:00-07:002013-05-07T00:00:00-07:002013-10703Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-07/pdf/2013-10703.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10849.htmlNotice - Sunshine Act Meetings2013-05-06T00:00:00-07:002013-05-06T00:00:00-07:002013-10849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10849.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10628.htmlNotice - Proposed Collection; Comment Request2013-05-06T00:00:00-07:002013-05-06T00:00:00-07:002013-10628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10628.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10627.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by Chicago Board Options Exchange, Incorporated Relating to Fees for the BBO Data Feed for Securities Traded on the CBOE Stock Exchange; Correction2013-05-06T00:00:00-07:002013-05-06T00:00:00-07:002013-10627Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10627.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10607.htmlNotice - Beverly Hills Bancorp Inc.; Notice of Application2013-05-06T00:00:00-07:002013-05-06T00:00:00-07:002013-10607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10607.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10606.htmlNotice - Goldman Sachs Trust II, et al.; Notice of Application2013-05-06T00:00:00-07:002013-05-06T00:00:00-07:002013-10606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10606.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10605.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday2013-05-06T00:00:00-07:002013-05-06T00:00:00-07:002013-10605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10605.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/06/2013-10564.htmlNotice - Notice of an Application of W2007 Grace Acquisition I, Inc. Under Section 12(h) of the Securities Exchange Act of 19342013-05-06T00:00:00-07:002013-05-06T00:00:00-07:002013-10564Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-06/pdf/2013-10564.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/03/C1-2013-09635.htmlNotice - In the Matter of Biopharm Asia, Inc., China Organic Agriculture, Inc., and Guilin Paper, Inc.; Order of Suspension of Trading2013-05-03T00:00:00-07:002013-05-03T00:00:00-07:00C1-2013-09635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-03/pdf/C1-2013-09635.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/03/2013-10508.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Include Options on Interest Rate Futures Contracts With Maturities Not Longer Than Two Years In The One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC2013-05-03T00:00:00-07:002013-05-03T00:00:00-07:002013-10508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-03/pdf/2013-10508.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/03/2013-10483.htmlNotice - Notice of Applications for Deregistration Under the Investment Company Act of 19402013-05-03T00:00:00-07:002013-05-03T00:00:00-07:002013-10483Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-03/pdf/2013-10483.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/03/2013-10445.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change To Enhance the Functionality Offered on the Options Floor Broker Management System (“FBMS”) by, Among Other Things, Automating Functions Currently Performed by Floor Brokers2013-05-03T00:00:00-07:002013-05-03T00:00:00-07:002013-10445Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-03/pdf/2013-10445.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10353.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Rule 6.74(b) That Sets Forth Expired SizeQuote Mechanism Pilot Program2013-05-02T00:00:00-07:002013-05-02T00:00:00-07:002013-10353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10353.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10352.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Strategy Fee Caps2013-05-02T00:00:00-07:002013-05-02T00:00:00-07:002013-10352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10352.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10351.htmlNotice - Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Section 3.5 of the OPRA Plan2013-05-02T00:00:00-07:002013-05-02T00:00:00-07:002013-10351Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10351.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10346.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change To Amend the Obvious and Catastrophic Errors Rule2013-05-02T00:00:00-07:002013-05-02T00:00:00-07:002013-10346Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10346.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/02/2013-10345.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a 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 IV2013-05-02T00:00:00-07:002013-05-02T00:00:00-07:002013-10345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-02/pdf/2013-10345.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10355.htmlNotice - Sunshine Act Meeting2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10355.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10302.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limits for Options on iShares MSCI Emerging Markets Index Fund2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10302Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10302.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10279.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend C2 Rule 6.522013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10279Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10279.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10278.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and To Make Related Clarifications to Rule Text2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10278Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10278.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10277.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and To Make Related Clarifications to Rule Text2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10277Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10277.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10240.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change and Amendment No. 1 Thereto To Adopt a Price/Display/Time Priority Algorithm, Permit the Registration of Market Makers, and Amend the Order Types Available on PSX2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10240.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10239.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10239.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10238.htmlNotice - Corporate Capital Trust, Inc., et al.; Notice of Application2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10238.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10237.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on 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”2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10237Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10237.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10236.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Revise Usage-Based Vendor Fees2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10236Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10236.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10194.htmlNotice - Order Making Fiscal Year 2013 Annual Adjustments to Transaction Fee Rates2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10194Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10194.pdfhttps://regulations.justia.com/regulations/fedreg/2013/05/01/2013-10177.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.11 Clarifying the Exchange's Treatment of Discretionary Orders That Have Discretionary Prices Outside of the Limit Up-Limit Down Price Bands2013-05-01T00:00:00-07:002013-05-01T00:00:00-07:002013-10177Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-05-01/pdf/2013-10177.pdf