Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/07/01?limit=200&registers=between&mode=atom 2025-01-09T06:03:45-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15701.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Rule 4630 to Remove a Restriction on a Member Acting as a Registered Market Maker in a Commodity-Related Security 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15701 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15701.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15700.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $1 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15700 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15700.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15697.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Requirements of the Competitive Liquidity Provider Program 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15697 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15697.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15668.html Notice - Norstra Energy Inc.; Order of Suspension of Trading 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15668 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15668.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15664.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer and Establish Fees for a New Exchange Service, EdgeRisk Gateways 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15664 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15664.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15662.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer and Establish Fees for a New Exchange Service, EdgeRisk Gateways 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15662 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15662.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15661.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Footnote 4 of the Exchange's Fee Schedule Regarding Retail Orders 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15661 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15661.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15658.html Notice - ACS Wireless, Inc.; Notice of Application 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15658 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15658.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15632.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in Which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc. 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15632.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15631.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc. 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15631.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15630.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction in which Its Indirect Parent, NYSE Euronext, Will Become a Wholly Owned Subsidiary of IntercontinentalExchange Group, Inc. 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15630 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15630.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15629.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Members' Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities) 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15629.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15627.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing to List and Trade Units of the First Trust Gold Trust Pursuant to NYSE Arca Equities Rule 8.201 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15627 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15627.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15624.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Third Party Market Data Delivered by NASDAQ 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15624 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15624.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15623.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval To Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Order PIXL 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15623 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15623.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15622.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretive Material to Rule 7150 (Price Improvement Period “PIP”) to Extend a Pilot Program that Permits the Exchange to Have no Minimum Size Requirement for Orders Entered into the PIP (“PIP Pilot Program”) 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15622 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15622.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15616.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish an Acceptable Trade Range for Orders and Quotes on PHLX XL 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15616 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15616.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15615.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section B of Exchange's Pricing Schedule 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15615 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15615.pdf https://regulations.justia.com/regulations/fedreg/2013/07/01/2013-15614.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program 2013-07-01T00:00:00-07:00 2013-07-01T00:00:00-07:00 2013-15614 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-01/pdf/2013-15614.pdf