<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/06?registers=between&min-day=1&max-day=30 Sat, 27 Apr 2024 15:45:33 -0700 Sat, 27 Apr 2024 15:45:33 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/06?registers=between&min-day=1&max-day=30 Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15580.html https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15580.html Fri, 28 Jun 2013 00:00:00 -0700 2013-15580 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-28/pdf/2013-15580.pdf Notice - Order Granting the Fixed Income Clearing Corporation's Amended Application for Permanent Registration as a Clearing Agency https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15509.html https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15509.html Fri, 28 Jun 2013 00:00:00 -0700 2013-15509 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-28/pdf/2013-15509.pdf Notice - ING Investments, LLC, et al.; https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15506.html https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15506.html Fri, 28 Jun 2013 00:00:00 -0700 2013-15506 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-28/pdf/2013-15506.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a 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 Market https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15497.html https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15497.html Fri, 28 Jun 2013 00:00:00 -0700 2013-15497 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-28/pdf/2013-15497.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Listing Standard for Reverse Merger Companies https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15493.html https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15493.html Fri, 28 Jun 2013 00:00:00 -0700 2013-15493 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-28/pdf/2013-15493.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rules G-8, G-11 and G-32 To Include Provisions Specifically Tailored for Retail Order Periods https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15492.html https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15492.html Fri, 28 Jun 2013 00:00:00 -0700 2013-15492 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-28/pdf/2013-15492.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15491.html https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15491.html Fri, 28 Jun 2013 00:00:00 -0700 2013-15491 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-28/pdf/2013-15491.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15463.html https://regulations.justia.com/regulations/fedreg/2013/06/28/2013-15463.html Fri, 28 Jun 2013 00:00:00 -0700 2013-15463 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-28/pdf/2013-15463.pdf Notice - In the Matter of Biozoom, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15507.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15507.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15507 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15507.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4 of Chapter XV of the BX Options Rules https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15373.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15373.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15373 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15373.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate an Erroneous Reference to the Retired Automatic Quotation Refresh Functionality Under Rule 4751(d) https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15371.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15371.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15371 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15371.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Which Complex Orders Can Initiate a Complex Order Live Auction https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15370.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15370.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15370 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15370.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making a Non-Substantive, Technical Amendment to Exchange Rule 900.3NY(o) To Correct a Cross Reference To Exchange Rule 964NY https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15369.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15369.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15369 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15369.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 2014 https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15368.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15368.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15368 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15368.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) as Modified by Amendment No. 1 https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15367.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15367.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15367 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15367.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15366.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15366.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15366 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15366.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Non-Substantive, Technical Amendments to Exchange Rule 6.62(o) Correcting Cross Reference to Exchange Rule 6.76B, and to Exchange Rule 6.76A To Correct Cross References to Exchange Rules 6.76A and 6.76B https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15365.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15365.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15365 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15365.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Amendments To the MIAX Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15364.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15364.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15364 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15364.pdf Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, the VelocityShares Tail Risk Hedged Large Cap ETF, and the VelocityShares Volatility Hedged Large Cap ETF https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15363.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15363.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15363 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15363.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, To Expand the Analytic Reporting Service To Permit Increased Source Data https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15349.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15349.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15349 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15349.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Replacing References to “Principle Executive” With References to “Principal Executive” in the Exchange's Rules https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15348.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15348.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15348 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15348.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or January 31, 2014 https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15347.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15347.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15347 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15347.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a 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 BX https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15346.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15346.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15346 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15346.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3100 To Adopt a Modification in the Process for Initiating Trading of a Security That Is the Subject of a Trading Halt or Pause on NASDAQ OMX PSX https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15345.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15345.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15345 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15345.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500-Equities To Extend the Operation of the Pilot Program That Allows Nasdaq Stock Market Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 2014 https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15344.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15344.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15344 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15344.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 2014 https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15343.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15343.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15343 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15343.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or January 31, 2014 https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15342.html https://regulations.justia.com/regulations/fedreg/2013/06/27/2013-15342.html Thu, 27 Jun 2013 00:00:00 -0700 2013-15342 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-27/pdf/2013-15342.pdf Notice - American Family Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15242.html https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15242.html Wed, 26 Jun 2013 00:00:00 -0700 2013-15242 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-26/pdf/2013-15242.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of its New Options Floor Broker Management System https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15241.html https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15241.html Wed, 26 Jun 2013 00:00:00 -0700 2013-15241 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-26/pdf/2013-15241.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 1000 To Increase the Price Threshold for Those Securities Ineligible for Automatic Executions From $1,000.00 or More to $10,000.00 or More https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15227.html https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15227.html Wed, 26 Jun 2013 00:00:00 -0700 2013-15227 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-26/pdf/2013-15227.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Managed Data Access Service, on a Pilot Basis, for the Sale of a Number of Market Data Products Currently Offered by the Exchange https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15226.html https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15226.html Wed, 26 Jun 2013 00:00:00 -0700 2013-15226 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-26/pdf/2013-15226.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange 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 Program https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15225.html https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15225.html Wed, 26 Jun 2013 00:00:00 -0700 2013-15225 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-26/pdf/2013-15225.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Exchange Rule 9.21 https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15224.html https://regulations.justia.com/regulations/fedreg/2013/06/26/2013-15224.html Wed, 26 Jun 2013 00:00:00 -0700 2013-15224 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-26/pdf/2013-15224.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 3150 (Reports Related to Position Limits) https://regulations.justia.com/regulations/fedreg/2013/06/25/2013-15084.html https://regulations.justia.com/regulations/fedreg/2013/06/25/2013-15084.html Tue, 25 Jun 2013 00:00:00 -0700 2013-15084 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-25/pdf/2013-15084.pdf Notice - 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 an Initial Public Offering on NASDAQ https://regulations.justia.com/regulations/fedreg/2013/06/25/2013-15083.html https://regulations.justia.com/regulations/fedreg/2013/06/25/2013-15083.html Tue, 25 Jun 2013 00:00:00 -0700 2013-15083 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-25/pdf/2013-15083.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-15155.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-15155.html Mon, 24 Jun 2013 00:00:00 -0700 2013-15155 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-15155.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14976.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14976.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14976 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14976.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Arca Options Rule 6.72 To Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2013 https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14975.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14975.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14975 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14975.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY to Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2013 https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14974.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14974.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14974 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14974.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14966.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14966.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14966 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14966.pdf 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. https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14965.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14965.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14965 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14965.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program and Amend Rule 7050 https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14964.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14964.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14964 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14964.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14963.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14963.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14963 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14963.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Related to Market Maker Risk Parameters and Complex Orders https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14962.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14962.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14962 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14962.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14961.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14961.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14961 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14961.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14960.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14960.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14960 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14960.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14959.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14959.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14959 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14959.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14958.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14958.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14958 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14958.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Require That Listed Companies Have an Internal Audit Function https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14957.html https://regulations.justia.com/regulations/fedreg/2013/06/24/2013-14957.html Mon, 24 Jun 2013 00:00:00 -0700 2013-14957 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-24/pdf/2013-14957.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14833.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14833.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14833 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14833.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14832.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14832.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14832 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14832.pdf 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. https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14831.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14831.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14831 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14831.pdf Notice - Guggenheim Funds Investment Advisors, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14805.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14805.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14805 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14805.pdf Notice - Sigma Investment Advisors, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14804.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14804.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14804 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14804.pdf Notice - Transparent Value Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14803.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14803.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14803 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14803.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14802.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14802.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14802 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14802.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14800.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14800.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14800 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14800.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14799.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14799.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14799 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14799.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14798.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14798.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14798 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14798.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14797.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14797.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14797 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14797.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14796.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14796.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14796 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14796.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Request To Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF Repo® Service https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14795.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14795.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14795 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14795.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14794.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14794.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14794 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14794.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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 Friday https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14793.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14793.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14793 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14793.pdf 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. https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14792.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14792.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14792 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14792.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Separate the Powers and Duties Currently Combined in the Office of OCC's Chairman Into Two Offices, Executive Chairman and President, and Create an Additional Directorship To Be Occupied by the President https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14791.html https://regulations.justia.com/regulations/fedreg/2013/06/21/2013-14791.html Fri, 21 Jun 2013 00:00:00 -0700 2013-14791 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-21/pdf/2013-14791.pdf Notice - Order of Suspension of Trading; iTrackr Systems, Inc. https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14830.html https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14830.html Thu, 20 Jun 2013 00:00:00 -0700 2013-14830 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-20/pdf/2013-14830.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14719.html https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14719.html Thu, 20 Jun 2013 00:00:00 -0700 2013-14719 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-20/pdf/2013-14719.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Traders Conducting Certain Futures and Options Trading on ICE Futures U.S. in Space Rented From the Exchange at 20 Broad Street To Access the IFUS Trading Floor Prior to 7 a.m. and on Days That the Exchange Is Closed Via The Exchange's 11 Wall Street Facilities and To Permit Additional IFUS Traders To Conduct Business on the IFUS Trading Floor https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14687.html https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14687.html Thu, 20 Jun 2013 00:00:00 -0700 2013-14687 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-20/pdf/2013-14687.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14686.html https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14686.html Thu, 20 Jun 2013 00:00:00 -0700 2013-14686 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-20/pdf/2013-14686.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing To Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14685.html https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14685.html Thu, 20 Jun 2013 00:00:00 -0700 2013-14685 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-20/pdf/2013-14685.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Permit Traders Conducting Certain Futures and Options Trading on ICE Futures U.S. in Space Rented From the Exchange at 20 Broad Street To Access the IFUS Trading Floor Prior to 7 a.m. and on Days That the Exchange Is Closed Via the Exchange's 11 Wall Street Facilities and To Permit Additional IFUS Traders To Conduct Business on the IFUS Trading Floor https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14684.html https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14684.html Thu, 20 Jun 2013 00:00:00 -0700 2013-14684 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-20/pdf/2013-14684.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14683.html https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14683.html Thu, 20 Jun 2013 00:00:00 -0700 2013-14683 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-20/pdf/2013-14683.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14682.html https://regulations.justia.com/regulations/fedreg/2013/06/20/2013-14682.html Thu, 20 Jun 2013 00:00:00 -0700 2013-14682 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-20/pdf/2013-14682.pdf Proposed Rule - Money Market Fund Reform; Amendments to Form PF https://regulations.justia.com/regulations/fedreg/2013/06/19/X13-10619.html https://regulations.justia.com/regulations/fedreg/2013/06/19/X13-10619.html Wed, 19 Jun 2013 00:00:00 -0700 X13-10619 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/X13-10619.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14609.html https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14609.html Wed, 19 Jun 2013 00:00:00 -0700 2013-14609 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/2013-14609.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Changes to NASDAQ's Pricing Incentive Programs and Schedule of Fees and Credits https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14608.html https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14608.html Wed, 19 Jun 2013 00:00:00 -0700 2013-14608 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/2013-14608.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14607.html https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14607.html Wed, 19 Jun 2013 00:00:00 -0700 2013-14607 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/2013-14607.pdf Notice - 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 7018 https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14606.html https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14606.html Wed, 19 Jun 2013 00:00:00 -0700 2013-14606 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/2013-14606.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14604.html https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14604.html Wed, 19 Jun 2013 00:00:00 -0700 2013-14604 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/2013-14604.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program To Permit NASDAQ Options Market To Accept Inbound Options Orders From NASDAQ OMX BX, Inc. https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14536.html https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14536.html Wed, 19 Jun 2013 00:00:00 -0700 2013-14536 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/2013-14536.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on 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, LLC https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14535.html https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14535.html Wed, 19 Jun 2013 00:00:00 -0700 2013-14535 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/2013-14535.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc. https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14534.html https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14534.html Wed, 19 Jun 2013 00:00:00 -0700 2013-14534 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/2013-14534.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Introduce a Market Maker Peg Order for Use on NASDAQ OMX PSX https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14503.html https://regulations.justia.com/regulations/fedreg/2013/06/19/2013-14503.html Wed, 19 Jun 2013 00:00:00 -0700 2013-14503 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-19/pdf/2013-14503.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving 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 https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14467.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14467.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14467 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14467.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14452.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14452.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14452 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14452.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14451.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14451.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14451 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14451.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.11, Entitled “BATS Trading, Inc. as Outbound Router” https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14450.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14450.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14450 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14450.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14421.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14421.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14421 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14421.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14420.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14420.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14420 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14420.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14419.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14419.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14419 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14419.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change in Connection With the Implementation of The Foreign Account Tax Compliance Act (FATCA) https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14418.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14418.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14418 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14418.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Definition of “Attributable Order” https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14395.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14395.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14395 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14395.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14394.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14394.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14394 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14394.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving 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) https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14393.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14393.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14393 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14393.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change in Connection With the Implementation of The Foreign Account Tax Compliance Act (FATCA) https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14392.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14392.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14392 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14392.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.11, Entitled “BATS Trading, Inc. as Outbound Router” https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14391.html https://regulations.justia.com/regulations/fedreg/2013/06/18/2013-14391.html Tue, 18 Jun 2013 00:00:00 -0700 2013-14391 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-18/pdf/2013-14391.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14422.html https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14422.html Mon, 17 Jun 2013 00:00:00 -0700 2013-14422 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-17/pdf/2013-14422.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14258.html https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14258.html Mon, 17 Jun 2013 00:00:00 -0700 2013-14258 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-17/pdf/2013-14258.pdf 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 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 https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14257.html https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14257.html Mon, 17 Jun 2013 00:00:00 -0700 2013-14257 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-17/pdf/2013-14257.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 103B, Section III(A) To Increase From Three to Four the Minimum Number of DMM Units an Issuer Must Interview From the Pool of DMM Units Eligible To Participate in the Allocation Process https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14256.html https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14256.html Mon, 17 Jun 2013 00:00:00 -0700 2013-14256 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-17/pdf/2013-14256.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List Related to Certain Pricing Applicable to Supplemental Liquidity Providers on the Exchange https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14255.html https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14255.html Mon, 17 Jun 2013 00:00:00 -0700 2013-14255 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-17/pdf/2013-14255.pdf Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Requirements Applicable to Foreign Trading Privilege Holders https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14250.html https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14250.html Mon, 17 Jun 2013 00:00:00 -0700 2013-14250 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-17/pdf/2013-14250.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending 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 https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14242.html https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14242.html Mon, 17 Jun 2013 00:00:00 -0700 2013-14242 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-17/pdf/2013-14242.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Order To Disseminate a Spot Price for Treasury Options https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14241.html https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14241.html Mon, 17 Jun 2013 00:00:00 -0700 2013-14241 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-17/pdf/2013-14241.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Apply a Strategy Fee Cap to Jelly Rolls https://regulations.justia.com/regulations/fedreg/2013/06/14/C1-2013-13274.html https://regulations.justia.com/regulations/fedreg/2013/06/14/C1-2013-13274.html Fri, 14 Jun 2013 00:00:00 -0700 C1-2013-13274 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-14/pdf/C1-2013-13274.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14114.html https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14114.html Fri, 14 Jun 2013 00:00:00 -0700 2013-14114 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-14/pdf/2013-14114.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14113.html https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14113.html Fri, 14 Jun 2013 00:00:00 -0700 2013-14113 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-14/pdf/2013-14113.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14112.html https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14112.html Fri, 14 Jun 2013 00:00:00 -0700 2013-14112 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-14/pdf/2013-14112.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Short-Form License Agreement That Must Be Signed by OCC Clearing Members Seeking To Clear Over-the-Counter Index Options on Underlying Indices Published by Standard & Poor's Financial Services LLC https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14111.html https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14111.html Fri, 14 Jun 2013 00:00:00 -0700 2013-14111 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-14/pdf/2013-14111.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Schedule of Fees and Rebates for Execution of Quotes and Orders on NASDAQ OMX PSX https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-14026.html https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-14026.html Thu, 13 Jun 2013 00:00:00 -0700 2013-14026 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-13/pdf/2013-14026.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval to 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” https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-14001.html https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-14001.html Thu, 13 Jun 2013 00:00:00 -0700 2013-14001 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-13/pdf/2013-14001.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.74A https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-14000.html https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-14000.html Thu, 13 Jun 2013 00:00:00 -0700 2013-14000 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-13/pdf/2013-14000.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Change With Respect to INAV Pegged Orders for ETFs https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-13999.html https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-13999.html Thu, 13 Jun 2013 00:00:00 -0700 2013-13999 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-13/pdf/2013-13999.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Clerical Correction to the Nasdaq Rulebook https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-13998.html https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-13998.html Thu, 13 Jun 2013 00:00:00 -0700 2013-13998 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-13/pdf/2013-13998.pdf Notice - Polar Petroleum Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-14027.html https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-14027.html Wed, 12 Jun 2013 00:00:00 -0700 2013-14027 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-12/pdf/2013-14027.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13897.html https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13897.html Wed, 12 Jun 2013 00:00:00 -0700 2013-13897 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-12/pdf/2013-13897.pdf Notice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Order Granting Approval of a 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 https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13889.html https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13889.html Wed, 12 Jun 2013 00:00:00 -0700 2013-13889 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-12/pdf/2013-13889.pdf Notice - Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Order Granting Approval of a Proposed Rule Change To Amend the Mortgage-Backed Securities Division Rule To Reflect Recommendations of the Treasury Market Practice Group https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13888.html https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13888.html Wed, 12 Jun 2013 00:00:00 -0700 2013-13888 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-12/pdf/2013-13888.pdf Notice - Order Granting a Limited Exemption from Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s Exchange Traded Product Incentive Program Pilot Pursuant to Regulation M Rule 102(e) https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13887.html https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13887.html Wed, 12 Jun 2013 00:00:00 -0700 2013-13887 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-12/pdf/2013-13887.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Implement a One-Year Pilot Program for Issuers of Certain Exchange-Traded Products Listed on the Exchange https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13886.html https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13886.html Wed, 12 Jun 2013 00:00:00 -0700 2013-13886 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-12/pdf/2013-13886.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Rule 8050 to Lower the Minimum Quoting Requirement for Market Makers Quoting in Jumbo SPY Options https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13882.html https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13882.html Wed, 12 Jun 2013 00:00:00 -0700 2013-13882 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-12/pdf/2013-13882.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Clear Contracts Traded on the LIFFE Administration and Management Market https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13859.html https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13859.html Wed, 12 Jun 2013 00:00:00 -0700 2013-13859 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-12/pdf/2013-13859.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13860.html https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13860.html Tue, 11 Jun 2013 00:00:00 -0700 2013-13860 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-11/pdf/2013-13860.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Fees for the MOPB Routing Option under Rule 7018(a) https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13775.html https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13775.html Tue, 11 Jun 2013 00:00:00 -0700 2013-13775 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-11/pdf/2013-13775.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed Asset-Backed Securities Traded in Specified Pool Transactions https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13774.html https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13774.html Tue, 11 Jun 2013 00:00:00 -0700 2013-13774 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-11/pdf/2013-13774.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, To Require That All Locked-in Trade Data Submitted to It for Trade Recording Be Submitted in Real-time https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13773.html https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13773.html Tue, 11 Jun 2013 00:00:00 -0700 2013-13773 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-11/pdf/2013-13773.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Cancellation Fee https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13772.html https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13772.html Tue, 11 Jun 2013 00:00:00 -0700 2013-13772 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-11/pdf/2013-13772.pdf Notice - Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13771.html https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13771.html Tue, 11 Jun 2013 00:00:00 -0700 2013-13771 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-11/pdf/2013-13771.pdf Notice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change That Consists of Technical Corrections To Reflect the Availability of Certain Functionality in the Obligation Warehouse Service https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13665.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13665.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13665 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13665.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1000-Equities To Revise the Manner by Which the Exchange Will Phase Out the Functionality Associated With Liquidity Replenishment Points in Connection With the Implementation of the Limit Up-Limit Down Plan https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13657.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13657.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13657 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13657.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1000 To Revise the Manner by Which the Exchange Will Phase Out the Functionality Associated With Liquidity Replenishment Points in Connection With the Implementation of the Limit Up-Limit Down Plan https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13656.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13656.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13656 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13656.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update a Reference in Rule 8.51 https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13655.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13655.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13655 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13655.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until January 5, 2014 https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13653.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13653.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13653 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13653.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place At A Price That Is Below $1 per Option Contract Until January 5, 2014 https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13652.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13652.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13652 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13652.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule to Change the Monthly Fees for Option Trading Permits and Raise the Fee Cap that Applies to Certain Firm and Broker Dealer Open Outcry Executions https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13638.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13638.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13638 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13638.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Adopt a Directed Order Process https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13630.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13630.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13630 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13630.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 605 Regarding Orders in a Market Maker's Appointed Classes https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13607.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13607.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13607 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13607.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 520 To Clarify the Description of the Operation of the Exchange's Route Timer https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13606.html https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13606.html Mon, 10 Jun 2013 00:00:00 -0700 2013-13606 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-10/pdf/2013-13606.pdf Notice - First Trust Exchange-Traded Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13551.html https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13551.html Fri, 07 Jun 2013 00:00:00 -0700 2013-13551 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-07/pdf/2013-13551.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correction of Typographical Errors in Respect of the Treasury Securities Options https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13522.html https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13522.html Fri, 07 Jun 2013 00:00:00 -0700 2013-13522 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-07/pdf/2013-13522.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of Proposed Rule Change To Modify the Allocation of Directed Orders in Specific Limited Situations https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13508.html https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13508.html Fri, 07 Jun 2013 00:00:00 -0700 2013-13508 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-07/pdf/2013-13508.pdf Notice - KP Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13507.html https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13507.html Fri, 07 Jun 2013 00:00:00 -0700 2013-13507 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-07/pdf/2013-13507.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13506.html https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13506.html Fri, 07 Jun 2013 00:00:00 -0700 2013-13506 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-07/pdf/2013-13506.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13505.html https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13505.html Fri, 07 Jun 2013 00:00:00 -0700 2013-13505 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-07/pdf/2013-13505.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Fees and Rebates https://regulations.justia.com/regulations/fedreg/2013/06/06/2013-13391.html https://regulations.justia.com/regulations/fedreg/2013/06/06/2013-13391.html Thu, 06 Jun 2013 00:00:00 -0700 2013-13391 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-06/pdf/2013-13391.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/06/2013-13383.html https://regulations.justia.com/regulations/fedreg/2013/06/06/2013-13383.html Thu, 06 Jun 2013 00:00:00 -0700 2013-13383 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-06/pdf/2013-13383.pdf Notice - Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13382.html https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13382.html Wed, 05 Jun 2013 00:00:00 -0700 2013-13382 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-05/pdf/2013-13382.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 980NY, To Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13287.html https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13287.html Wed, 05 Jun 2013 00:00:00 -0700 2013-13287 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-05/pdf/2013-13287.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13286.html https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13286.html Wed, 05 Jun 2013 00:00:00 -0700 2013-13286 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-05/pdf/2013-13286.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13285.html https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13285.html Wed, 05 Jun 2013 00:00:00 -0700 2013-13285 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-05/pdf/2013-13285.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment Nos. 1 and 2 and Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rule 6.53(u) https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13277.html https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13277.html Wed, 05 Jun 2013 00:00:00 -0700 2013-13277 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-05/pdf/2013-13277.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.91 To Remove Provisions Governing How the Complex Matching Engine Handles Electronic Complex Orders That Contain a Stock Leg https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13276.html https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13276.html Wed, 05 Jun 2013 00:00:00 -0700 2013-13276 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-05/pdf/2013-13276.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Permit Fees and Other Floor Fees https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13275.html https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13275.html Wed, 05 Jun 2013 00:00:00 -0700 2013-13275 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-05/pdf/2013-13275.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Apply a Strategy Fee Cap to Jelly Rolls https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13274.html https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13274.html Wed, 05 Jun 2013 00:00:00 -0700 2013-13274 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-05/pdf/2013-13274.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change in Connection With the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13273.html https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13273.html Wed, 05 Jun 2013 00:00:00 -0700 2013-13273 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-05/pdf/2013-13273.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13245.html https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13245.html Tue, 04 Jun 2013 00:00:00 -0700 2013-13245 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-04/pdf/2013-13245.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13191.html https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13191.html Tue, 04 Jun 2013 00:00:00 -0700 2013-13191 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-04/pdf/2013-13191.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing of Additional Strikes Until the Close of Trading on the Second Business Day Prior to Expiration in Unusual Market Conditions https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13152.html https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13152.html Tue, 04 Jun 2013 00:00:00 -0700 2013-13152 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-04/pdf/2013-13152.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13146.html https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13146.html Tue, 04 Jun 2013 00:00:00 -0700 2013-13146 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-04/pdf/2013-13146.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13126.html https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13126.html Tue, 04 Jun 2013 00:00:00 -0700 2013-13126 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-04/pdf/2013-13126.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13110.html https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13110.html Tue, 04 Jun 2013 00:00:00 -0700 2013-13110 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-04/pdf/2013-13110.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13108.html https://regulations.justia.com/regulations/fedreg/2013/06/04/2013-13108.html Tue, 04 Jun 2013 00:00:00 -0700 2013-13108 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-04/pdf/2013-13108.pdf Notice - Lanbo Financial Group, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13157.html https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13157.html Mon, 03 Jun 2013 00:00:00 -0700 2013-13157 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-03/pdf/2013-13157.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13111.html https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13111.html Mon, 03 Jun 2013 00:00:00 -0700 2013-13111 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-03/pdf/2013-13111.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval to 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” https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13036.html https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13036.html Mon, 03 Jun 2013 00:00:00 -0700 2013-13036 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-03/pdf/2013-13036.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Arca Options Rule 6.62(cc) To Remove References to Functionality Described as the Post No Preference Light Only Quotation https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13035.html https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-13035.html Mon, 03 Jun 2013 00:00:00 -0700 2013-13035 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-03/pdf/2013-13035.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide That OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts to Account for Certain Events, Such as Certain Dividend Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-12975.html https://regulations.justia.com/regulations/fedreg/2013/06/03/2013-12975.html Mon, 03 Jun 2013 00:00:00 -0700 2013-12975 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-06-03/pdf/2013-12975.pdf