Securities and Exchange Commission June 2013 – Federal Register Recent Federal Regulation Documents

Results 101 - 150 of 168
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
Document Number: 2013-14256
Type: Notice
Date: 2013-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14256.html
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
Document Number: 2013-14255
Type: Notice
Date: 2013-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14255.html
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
Document Number: 2013-14250
Type: Notice
Date: 2013-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14250.html
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
Document Number: 2013-14242
Type: Notice
Date: 2013-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14242.html
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
Document Number: 2013-14241
Type: Notice
Date: 2013-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/17/2013-14241.html
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
Document Number: C1-2013-13274
Type: Notice
Date: 2013-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/14/C1-2013-13274.html
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
Document Number: 2013-14114
Type: Notice
Date: 2013-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14114.html
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
Document Number: 2013-14113
Type: Notice
Date: 2013-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14113.html
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
Document Number: 2013-14112
Type: Notice
Date: 2013-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14112.html
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
Document Number: 2013-14111
Type: Notice
Date: 2013-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/14/2013-14111.html
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
Document Number: 2013-14026
Type: Notice
Date: 2013-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-14026.html
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”
Document Number: 2013-14001
Type: Notice
Date: 2013-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-14001.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.74A
Document Number: 2013-14000
Type: Notice
Date: 2013-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-14000.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Change With Respect to INAV Pegged Orders for ETFs
Document Number: 2013-13999
Type: Notice
Date: 2013-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-13999.html
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
Document Number: 2013-13998
Type: Notice
Date: 2013-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/13/2013-13998.html
Polar Petroleum Corp.; Order of Suspension of Trading
Document Number: 2013-14027
Type: Notice
Date: 2013-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-14027.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Fee Schedule
Document Number: 2013-13897
Type: Notice
Date: 2013-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13897.html
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
Document Number: 2013-13889
Type: Notice
Date: 2013-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13889.html
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
Document Number: 2013-13888
Type: Notice
Date: 2013-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13888.html
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)
Document Number: 2013-13887
Type: Notice
Date: 2013-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13887.html
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
Document Number: 2013-13886
Type: Notice
Date: 2013-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13886.html
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
Document Number: 2013-13882
Type: Notice
Date: 2013-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13882.html
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
Document Number: 2013-13859
Type: Notice
Date: 2013-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/12/2013-13859.html
Sunshine Act Meeting
Document Number: 2013-13860
Type: Notice
Date: 2013-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13860.html
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)
Document Number: 2013-13775
Type: Notice
Date: 2013-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13775.html
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
Document Number: 2013-13774
Type: Notice
Date: 2013-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13774.html
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
Document Number: 2013-13773
Type: Notice
Date: 2013-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13773.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Cancellation Fee
Document Number: 2013-13772
Type: Notice
Date: 2013-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13772.html
Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust; Notice of Application
Document Number: 2013-13771
Type: Notice
Date: 2013-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/11/2013-13771.html
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
Document Number: 2013-13665
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13665.html
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
Document Number: 2013-13657
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13657.html
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
Document Number: 2013-13656
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13656.html
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
Document Number: 2013-13655
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13655.html
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
Document Number: 2013-13653
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13653.html
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
Document Number: 2013-13652
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13652.html
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
Document Number: 2013-13638
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13638.html
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
Document Number: 2013-13630
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13630.html
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
Document Number: 2013-13607
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13607.html
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
Document Number: 2013-13606
Type: Notice
Date: 2013-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/10/2013-13606.html
First Trust Exchange-Traded Fund, et al.; Notice of Application
Document Number: 2013-13551
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13551.html
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
Document Number: 2013-13522
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13522.html
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
Document Number: 2013-13508
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13508.html
KP Funds, et al.; Notice of Application
Document Number: 2013-13507
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: The requested order would (a) permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies and unit investment trusts (``UITs'') that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments.
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13507.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2013-13506
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant seeks an order declaring that it has ceased to be an investment company. The applicants transferred their assets to Oppenheimer Global Strategic Income Fund and, on September 21, 2012, and October 5, 2012, respectively, made final distributions to their shareholders based on net asset value. Expenses of $133,210 and $37,920, respectively, incurred in connection with the reorganizations were paid by each applicant. Filing Date: The applications were filed on April 23, 2013. Applicants' Address: 6803 S. Tucson Way, Centennial, CO 80112.
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13506.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2013-13505
Type: Notice
Date: 2013-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/07/2013-13505.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Fees and Rebates
Document Number: 2013-13391
Type: Notice
Date: 2013-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/06/2013-13391.html
Proposed Collection; Comment Request
Document Number: 2013-13383
Type: Notice
Date: 2013-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/06/2013-13383.html
Order of Suspension of Trading
Document Number: 2013-13382
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13382.html
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
Document Number: 2013-13287
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13287.html
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
Document Number: 2013-13286
Type: Notice
Date: 2013-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/06/05/2013-13286.html
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