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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2021-07-28T09:38:30-07:00 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/2013/07/31/2013-18395.html Rule - Adoption of Updated EDGAR Filer Manual 2013-07-31T00:00:00-07:00 2013-07-31T00:00:00-07:00 2013-18395 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-07-31/pdf/2013-18395.pdf https://regulations.justia.com/regulations/fedreg/2013/07/31/2013-18349.html Notice - NGAM Advisors, L.P., et al.; Notice of Application 2013-07-31T00:00:00-07:00 2013-07-31T00:00:00-07:00 2013-18349 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-31/pdf/2013-18349.pdf https://regulations.justia.com/regulations/fedreg/2013/07/31/2013-18348.html Notice - Calamos Advisors LLC and Calamos ETF Trust; Notice of Application 2013-07-31T00:00:00-07:00 2013-07-31T00:00:00-07:00 2013-18348 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-31/pdf/2013-18348.pdf https://regulations.justia.com/regulations/fedreg/2013/07/31/2013-18347.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Functionality 2013-07-31T00:00:00-07:00 2013-07-31T00:00:00-07:00 2013-18347 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-31/pdf/2013-18347.pdf https://regulations.justia.com/regulations/fedreg/2013/07/31/2013-18346.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Codify Existing Price Protection Mechanisms 2013-07-31T00:00:00-07:00 2013-07-31T00:00:00-07:00 2013-18346 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-31/pdf/2013-18346.pdf https://regulations.justia.com/regulations/fedreg/2013/07/31/2013-18345.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Codify Existing Price Protection Mechanisms 2013-07-31T00:00:00-07:00 2013-07-31T00:00:00-07:00 2013-18345 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-31/pdf/2013-18345.pdf https://regulations.justia.com/regulations/fedreg/2013/07/30/2013-18362.html Notice - Duoyuan Printing, Inc.; Order of Suspension: of Trading 2013-07-30T00:00:00-07:00 2013-07-30T00:00:00-07:00 2013-18362 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-30/pdf/2013-18362.pdf https://regulations.justia.com/regulations/fedreg/2013/07/30/2013-18350.html Notice - Sunshine Act Meeting 2013-07-30T00:00:00-07:00 2013-07-30T00:00:00-07:00 2013-18350 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-30/pdf/2013-18350.pdf https://regulations.justia.com/regulations/fedreg/2013/07/30/2013-18282.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a New Dedicated OUCH Port Infrastructure Connectivity Option and Adopt Related Fees 2013-07-30T00:00:00-07:00 2013-07-30T00:00:00-07:00 2013-18282 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-30/pdf/2013-18282.pdf https://regulations.justia.com/regulations/fedreg/2013/07/29/2013-18077.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-07-29T00:00:00-07:00 2013-07-29T00:00:00-07:00 2013-18077 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-29/pdf/2013-18077.pdf https://regulations.justia.com/regulations/fedreg/2013/07/29/2013-18076.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Market Maker Fees 2013-07-29T00:00:00-07:00 2013-07-29T00:00:00-07:00 2013-18076 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-29/pdf/2013-18076.pdf https://regulations.justia.com/regulations/fedreg/2013/07/29/2013-18075.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating To Which Complex Orders Can Initiate a Complex Order Live Auction 2013-07-29T00:00:00-07:00 2013-07-29T00:00:00-07:00 2013-18075 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-29/pdf/2013-18075.pdf https://regulations.justia.com/regulations/fedreg/2013/07/29/2013-18074.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuing Education 2013-07-29T00:00:00-07:00 2013-07-29T00:00:00-07:00 2013-18074 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-29/pdf/2013-18074.pdf https://regulations.justia.com/regulations/fedreg/2013/07/29/2013-18073.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of a Recent Change to Exchange Rule 514 2013-07-29T00:00:00-07:00 2013-07-29T00:00:00-07:00 2013-18073 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-29/pdf/2013-18073.pdf https://regulations.justia.com/regulations/fedreg/2013/07/29/2013-18072.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of a Recent Change to Exchange Rule 506 2013-07-29T00:00:00-07:00 2013-07-29T00:00:00-07:00 2013-18072 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-29/pdf/2013-18072.pdf https://regulations.justia.com/regulations/fedreg/2013/07/26/2013-17974.html 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 2013-07-26T00:00:00-07:00 2013-07-26T00:00:00-07:00 2013-17974 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-26/pdf/2013-17974.pdf https://regulations.justia.com/regulations/fedreg/2013/07/25/2013-17973.html Notice - In the Matter of Camelot Entertainment Group, Inc., Cavico Corp., Global 8 Environmental Technologies, Inc., GTC Telecom Corp., ICF Corporation, and New NRG, Inc.; Order of Suspension of Trading 2013-07-25T00:00:00-07:00 2013-07-25T00:00:00-07:00 2013-17973 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-25/pdf/2013-17973.pdf https://regulations.justia.com/regulations/fedreg/2013/07/25/2013-17972.html Notice - Order of Suspension of Trading; In the Matter of American Wenshen Steel Group, Inc., Case Financial, Inc., Global ePoint, Inc., and iMedia International, Inc. 2013-07-25T00:00:00-07:00 2013-07-25T00:00:00-07:00 2013-17972 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-25/pdf/2013-17972.pdf https://regulations.justia.com/regulations/fedreg/2013/07/25/2013-17862.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to CBSX Rule 53.2 2013-07-25T00:00:00-07:00 2013-07-25T00:00:00-07:00 2013-17862 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-25/pdf/2013-17862.pdf https://regulations.justia.com/regulations/fedreg/2013/07/25/2013-17860.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Nineteenth Charges Amendment to the Second Restatement of the CTA Plan and Eleventh Charges Amendment to the Restated CQ Plan 2013-07-25T00:00:00-07:00 2013-07-25T00:00:00-07:00 2013-17860 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-25/pdf/2013-17860.pdf https://regulations.justia.com/regulations/fedreg/2013/07/25/2013-17857.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities That Are Effected Pursuant to Securities Act Rule 144A 2013-07-25T00:00:00-07:00 2013-07-25T00:00:00-07:00 2013-17857 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-25/pdf/2013-17857.pdf https://regulations.justia.com/regulations/fedreg/2013/07/25/2013-17856.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of First Trust Inflation Managed Fund 2013-07-25T00:00:00-07:00 2013-07-25T00:00:00-07:00 2013-17856 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-25/pdf/2013-17856.pdf https://regulations.justia.com/regulations/fedreg/2013/07/25/2013-17840.html Notice - Submission for OMB Review; Comment Request 2013-07-25T00:00:00-07:00 2013-07-25T00:00:00-07:00 2013-17840 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-25/pdf/2013-17840.pdf https://regulations.justia.com/regulations/fedreg/2013/07/25/2013-17839.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving Proposed Rule Change To Modify the Allocation of Directed Orders in Specific Limited Situations 2013-07-25T00:00:00-07:00 2013-07-25T00:00:00-07:00 2013-17839 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-25/pdf/2013-17839.pdf https://regulations.justia.com/regulations/fedreg/2013/07/24/2013-17724.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule A-3, on Membership on the Board, To Modify the Standard of Independence for Public Board Members 2013-07-24T00:00:00-07:00 2013-07-24T00:00:00-07:00 2013-17724 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-24/pdf/2013-17724.pdf https://regulations.justia.com/regulations/fedreg/2013/07/24/2013-17723.html Notice - Submission for OMB Review; Comment Request 2013-07-24T00:00:00-07:00 2013-07-24T00:00:00-07:00 2013-17723 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-24/pdf/2013-17723.pdf https://regulations.justia.com/regulations/fedreg/2013/07/24/2013-17722.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the SPDR SSgA Ultra Short Term Bond ETF; SPDR SSgA Conservative Ultra Short Term Bond ETF; and SPDR SSgA Aggressive Ultra Short Term Bond ETF Under NYSE Arca Equities Rule 8.600 2013-07-24T00:00:00-07:00 2013-07-24T00:00:00-07:00 2013-17722 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-24/pdf/2013-17722.pdf https://regulations.justia.com/regulations/fedreg/2013/07/24/2013-16983.html Rule - Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings 2013-07-24T00:00:00-07:00 2013-07-24T00:00:00-07:00 2013-16983 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-07-24/pdf/2013-16983.pdf https://regulations.justia.com/regulations/fedreg/2013/07/24/2013-16884.html Proposed Rule - Amendments to Regulation D, Form D and Rule 156 2013-07-24T00:00:00-07:00 2013-07-24T00:00:00-07:00 2013-16884 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-07-24/pdf/2013-16884.pdf https://regulations.justia.com/regulations/fedreg/2013/07/24/2013-16883.html Rule - Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings 2013-07-24T00:00:00-07:00 2013-07-24T00:00:00-07:00 2013-16883 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-07-24/pdf/2013-16883.pdf https://regulations.justia.com/regulations/fedreg/2013/07/23/2013-17755.html Notice - RVPlus, Inc.; Order of Suspension of Trading 2013-07-23T00:00:00-07:00 2013-07-23T00:00:00-07:00 2013-17755 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-23/pdf/2013-17755.pdf https://regulations.justia.com/regulations/fedreg/2013/07/23/2013-17715.html Notice - Sunshine Act Meeting 2013-07-23T00:00:00-07:00 2013-07-23T00:00:00-07:00 2013-17715 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-23/pdf/2013-17715.pdf https://regulations.justia.com/regulations/fedreg/2013/07/23/2013-17597.html Notice - Submission for OMB Review; Comment Request 2013-07-23T00:00:00-07:00 2013-07-23T00:00:00-07:00 2013-17597 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-23/pdf/2013-17597.pdf https://regulations.justia.com/regulations/fedreg/2013/07/23/2013-17596.html Notice - Submission for OMB Review; Comment Request 2013-07-23T00:00:00-07:00 2013-07-23T00:00:00-07:00 2013-17596 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-23/pdf/2013-17596.pdf https://regulations.justia.com/regulations/fedreg/2013/07/23/2013-17595.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 521 and 530 Regarding Its Obvious Error Rules 2013-07-23T00:00:00-07:00 2013-07-23T00:00:00-07:00 2013-17595 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-23/pdf/2013-17595.pdf https://regulations.justia.com/regulations/fedreg/2013/07/23/2013-17594.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 700 Regarding Friday Expiration Changes 2013-07-23T00:00:00-07:00 2013-07-23T00:00:00-07:00 2013-17594 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-23/pdf/2013-17594.pdf https://regulations.justia.com/regulations/fedreg/2013/07/23/2013-17092.html Unknown - Regulatory Flexibility Agenda 2013-07-23T00:00:00-07:00 2013-07-23T00:00:00-07:00 2013-17092 Unknown http://www.gpo.gov/fdsys/pkg/FR-2013-07-23/pdf/2013-17092.pdf https://regulations.justia.com/regulations/fedreg/2013/07/23/2013-17091.html Unknown - Unified Agenda of Federal Regulatory and Deregulatory Actions 2013-07-23T00:00:00-07:00 2013-07-23T00:00:00-07:00 2013-17091 Unknown http://www.gpo.gov/fdsys/pkg/FR-2013-07-23/pdf/2013-17091.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17698.html Notice - Sunshine Act Meeting 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17698 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17698.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17635.html Notice - In the Matter of American Technologies Group, Inc., Bonanza Oil & Gas, Inc., and Gulf Coast Oil & Gas, Inc.; Order of Suspension of Trading 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17635 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17635.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17633.html Notice - In the Matter of First Georgia Community Corp., FLO Corp., Florida Community Banks, Inc., In Touch Media Group, Inc., and NHS Health Solutions, Inc.; Order of Suspension of Trading 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17633 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17633.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17598.html Notice - Sunshine Act Meeting 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17598 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17598.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17539.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17539 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17539.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17474.html Notice - Submission for OMB Review; Comment Request 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17474 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17474.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17473.html Notice - Submission for OMB Review; Comment Request 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17473 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17473.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17472.html Notice - Submission for OMB Review; Comment Request 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17472 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17472.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17471.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Revise the Credits for Certain Designated Market Maker Transactions and Revise the Annual Trading License Fees 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17471 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17471.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17470.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to PULSe Workstation Functionality 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17470 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17470.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17469.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to PULSe Workstation Functionality 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17469 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17469.pdf https://regulations.justia.com/regulations/fedreg/2013/07/22/2013-17468.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Regarding Price Improvement XL 2013-07-22T00:00:00-07:00 2013-07-22T00:00:00-07:00 2013-17468 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17468.pdf https://regulations.justia.com/regulations/fedreg/2013/07/19/2013-17316.html Notice - Grosvenor Alternative Funds Master Trust, et al.; Notice of Application 2013-07-19T00:00:00-07:00 2013-07-19T00:00:00-07:00 2013-17316 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-19/pdf/2013-17316.pdf https://regulations.justia.com/regulations/fedreg/2013/07/19/2013-17315.html Notice - Proposed Collection; Comment Request 2013-07-19T00:00:00-07:00 2013-07-19T00:00:00-07:00 2013-17315 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-19/pdf/2013-17315.pdf https://regulations.justia.com/regulations/fedreg/2013/07/19/2013-17314.html Notice - Proposed Collection; Comment Request 2013-07-19T00:00:00-07:00 2013-07-19T00:00:00-07:00 2013-17314 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-19/pdf/2013-17314.pdf https://regulations.justia.com/regulations/fedreg/2013/07/19/2013-17313.html Notice - Proposed Collection; Comment Request 2013-07-19T00:00:00-07:00 2013-07-19T00:00:00-07:00 2013-17313 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-19/pdf/2013-17313.pdf https://regulations.justia.com/regulations/fedreg/2013/07/19/2013-17312.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to Complex Orders 2013-07-19T00:00:00-07:00 2013-07-19T00:00:00-07:00 2013-17312 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-19/pdf/2013-17312.pdf https://regulations.justia.com/regulations/fedreg/2013/07/19/2013-17303.html Notice - Dodd-Frank Investor Advisory Committee 2013-07-19T00:00:00-07:00 2013-07-19T00:00:00-07:00 2013-17303 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-19/pdf/2013-17303.pdf https://regulations.justia.com/regulations/fedreg/2013/07/18/2013-17209.html Notice - Self-Regulatory Organizations; the Depository Trust Company; Order Approving Proposed Rule Change in Connection With the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction 2013-07-18T00:00:00-07:00 2013-07-18T00:00:00-07:00 2013-17209 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-18/pdf/2013-17209.pdf https://regulations.justia.com/regulations/fedreg/2013/07/18/2013-17196.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving Proposed Rule Changes Deleting NYSE Rules 95(c) and (d) and NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material 2013-07-18T00:00:00-07:00 2013-07-18T00:00:00-07:00 2013-17196 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-18/pdf/2013-17196.pdf https://regulations.justia.com/regulations/fedreg/2013/07/18/2013-17195.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Existing CDS Credit Limits 2013-07-18T00:00:00-07:00 2013-07-18T00:00:00-07:00 2013-17195 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-18/pdf/2013-17195.pdf https://regulations.justia.com/regulations/fedreg/2013/07/18/2013-17194.html Rule - Rescission of Supervised Investment Bank Holding Company Rules 2013-07-18T00:00:00-07:00 2013-07-18T00:00:00-07:00 2013-17194 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-07-18/pdf/2013-17194.pdf https://regulations.justia.com/regulations/fedreg/2013/07/18/2013-17180.html Notice - Submission for OMB Review; Comment Request 2013-07-18T00:00:00-07:00 2013-07-18T00:00:00-07:00 2013-17180 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-18/pdf/2013-17180.pdf https://regulations.justia.com/regulations/fedreg/2013/07/18/2013-17179.html Notice - Submission for OMB Review; Comment Request 2013-07-18T00:00:00-07:00 2013-07-18T00:00:00-07:00 2013-17179 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-18/pdf/2013-17179.pdf https://regulations.justia.com/regulations/fedreg/2013/07/18/2013-17178.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service 2013-07-18T00:00:00-07:00 2013-07-18T00:00:00-07:00 2013-17178 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-18/pdf/2013-17178.pdf https://regulations.justia.com/regulations/fedreg/2013/07/17/2013-17099.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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 2013-07-17T00:00:00-07:00 2013-07-17T00:00:00-07:00 2013-17099 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-17/pdf/2013-17099.pdf https://regulations.justia.com/regulations/fedreg/2013/07/17/2013-17098.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List To Change the Monthly Fees For the Use of Certain Ports 2013-07-17T00:00:00-07:00 2013-07-17T00:00:00-07:00 2013-17098 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-17/pdf/2013-17098.pdf https://regulations.justia.com/regulations/fedreg/2013/07/17/2013-17097.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Change the Monthly Fees for the Use of Certain Ports 2013-07-17T00:00:00-07:00 2013-07-17T00:00:00-07:00 2013-17097 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-17/pdf/2013-17097.pdf https://regulations.justia.com/regulations/fedreg/2013/07/17/2013-17096.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division 2013-07-17T00:00:00-07:00 2013-07-17T00:00:00-07:00 2013-17096 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-17/pdf/2013-17096.pdf https://regulations.justia.com/regulations/fedreg/2013/07/17/2013-17095.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 312.07 of the Listed Company Manual To Remove the 50% Quorum Requirement and Add Certain Clarifying Language 2013-07-17T00:00:00-07:00 2013-07-17T00:00:00-07:00 2013-17095 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-17/pdf/2013-17095.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/C1-2013-15780.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7130 (Execution and Price/Time Priority) To Adjust the NBBO Exposure Period 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 C1-2013-15780 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/C1-2013-15780.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/C1-2013-15658.html Notice - ACS Wireless, Inc.; Notice of Application 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 C1-2013-15658 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/C1-2013-15658.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-17100.html Notice - Sunshine Act Meeting 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 2013-17100 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/2013-17100.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-17015.html Rule - Retail Foreign Exchange Transactions 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 2013-17015 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/2013-17015.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-17014.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 55 Examination Program 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 2013-17014 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/2013-17014.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-17013.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 3120 (Position Limits) and BOX Rule 3130 (Exemptions from Position Limits) 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 2013-17013 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/2013-17013.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16936.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Several NYSE Rules To Reflect Changes to Rules and Adopt Guidance of the Financial Industry Regulatory Authority 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 2013-16936 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/2013-16936.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16935.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Section I Pricing for Select Symbols 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 2013-16935 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/2013-16935.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16934.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Change to Interest Rate Swap Margin Calculation Parameters 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 2013-16934 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/2013-16934.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16933.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 6.42 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 2013-16933 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/2013-16933.pdf https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16932.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Interest Rate Swap Clearing Changes 2013-07-16T00:00:00-07:00 2013-07-16T00:00:00-07:00 2013-16932 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-16/pdf/2013-16932.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16937.html Notice - Sunshine Act Meeting. 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16937 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16937.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16864.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice in Connection With a Proposed Change to its Operations in the Form of a Private Offering by OCC of Senior Unsecured Debt Securities 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16864 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16864.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16859.html Notice - Submission for OMB Review; Comment Request 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16859 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16859.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16858.html Notice - FlexShares Trust, et al.; Notice of Application 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16858 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16858.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16856.html Notice - NGAM Advisors, LP, et al.; Notice of Application 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16856 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16856.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16855.html Notice - Bridge Builder Trust and Olive Street Investment Advisers, LLC; Notice of Application 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16855 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16855.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16821.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 2 to an Advance Notice, as Previously Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16821 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16821.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16820.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rules 504 and 509-Equities With Respect to DMM Quoting Requirements Applicable to Nasdaq Stock Market Securities Traded on the Exchange Pursuant to A Grant of Unlisted Trading Privileges 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16820 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16820.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16819.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Previously Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16819 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16819.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16818.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rule 6.53(u), Relating to Qualified Contingent Cross Orders 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16818 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16818.pdf https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16817.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Priority Customer Rebate Program 2013-07-15T00:00:00-07:00 2013-07-15T00:00:00-07:00 2013-16817 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-15/pdf/2013-16817.pdf https://regulations.justia.com/regulations/fedreg/2013/07/12/2013-16749.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee and Rebate Schedule 2013-07-12T00:00:00-07:00 2013-07-12T00:00:00-07:00 2013-16749 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-12/pdf/2013-16749.pdf https://regulations.justia.com/regulations/fedreg/2013/07/12/2013-16689.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of 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 2013-07-12T00:00:00-07:00 2013-07-12T00:00:00-07:00 2013-16689 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-12/pdf/2013-16689.pdf https://regulations.justia.com/regulations/fedreg/2013/07/12/2013-16681.html Notice - Privacy Act of 1974: Systems of Records 2013-07-12T00:00:00-07:00 2013-07-12T00:00:00-07:00 2013-16681 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-12/pdf/2013-16681.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16589.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extending FLEX AIM Pilot Program Until July 18, 2014 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16589 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16589.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16537.html Notice - Citadel LLC (Formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16537 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16537.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16536.html Notice - BofA Funds Series Trust, et al., Notice of Application 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16536 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16536.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16535.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Impose Fees for Market Data 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16535 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16535.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16534.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Impose Fees for Market Data 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16534 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16534.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16533.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Correction of a Typographical Error in Rule 6.15.08 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16533 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16533.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16532.html 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. 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16532 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16532.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16531.html 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. 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16531 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16531.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16530.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Option Rebates To Add Liquidity 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16530 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16530.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16529.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness to Conform Rule 5705 Governing Exchange Traded Funds to the Listing Requirements of Another Market 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16529 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16529.pdf https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16528.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Standards for Certain Securities 2013-07-10T00:00:00-07:00 2013-07-10T00:00:00-07:00 2013-16528 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-10/pdf/2013-16528.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16538.html Notice - Sunshine Act Meeting 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16538 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16538.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16480.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Add Greater Specificity Related to the Applicable “Tier 3” Supplemental Liquidity Provider Rate and the Member Organization Tier 1 and Tier 2 Adding Credit Rates 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16480 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16480.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16479.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Modify the Credits for Certain Mid-Point Passive Liquidity Orders, Add Two New Tiers Applicable to Transactions in Tape B Securities, Add a Pricing Tier Applicable to Orders of ETP Holders for Tape A and Tape C Securities That Are Eligible To Be Routed Away From the Exchange, and Modify the Equity Threshold Applicable to the Cross-Asset Tier 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16479 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16479.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16477.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice To Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16477 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16477.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16476.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Acceptable Complex Execution Parameter 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16476 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16476.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16384.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16384 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16384.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16383.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 1012 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16383 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16383.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16382.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio Under NYSE Arca Equities Rule 8.600 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16382 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16382.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16381.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange Fee Schedule To Update and Clarify Certain Fees Assessed Under Section V (Technology Fees) 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16381 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16381.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16380.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16380 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16380.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16379.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection With OCC Cleared Over-the-Counter Options 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16379 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16379.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16378.html 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 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16378 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16378.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16377.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust Pursuant to NYSE Arca Equities Rule 8.200 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16377 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16377.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16376.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16376 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16376.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16367.html Notice - Submission for OMB Review; Comment Request 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16367 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16367.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16366.html Notice - Submission for OMB Review; Comment Request 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16366 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16366.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16365.html Notice - Submission for OMB Review; Comment Request 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16365 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16365.pdf https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16364.html Notice - Submission for OMB Review; Comment Request 2013-07-09T00:00:00-07:00 2013-07-09T00:00:00-07:00 2013-16364 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-09/pdf/2013-16364.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16481.html Notice - Sunshine Act Meetings 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16481 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16481.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16289.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending 303A.00 of the Exchange's Listed Company Manual To Provide a One-Year Transition Period To Comply With the Internal Audit Requirement of Section 303A.07(c) for Companies Listing in Connection With An Initial Public Offering, as New Registrants or by Means of a Carve-Out or Spin-Off Transaction 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16289 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16289.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16233.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Change the Monthly Fees for the Use of Certain Ports 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16233 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16233.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16232.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Single-Sided Order Fees and Credits and the Order Cancellation Fee 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16232 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16232.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16231.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16231 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16231.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16229.html 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 the Execution of Quotes and Orders on NASDAQ OMX PSX 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16229 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16229.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16228.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 4120(c)(7) To Modify the Parameters for Releasing IPO Securities for Trading Pursuant to the IPO Halt Cross Under NASDAQ Rule 4753 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16228 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16228.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16227.html 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 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16227 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16227.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16226.html 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 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16226 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16226.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16225.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees Under the QMM Pricing Incentive Program Under Rules 7014 and 7015 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16225 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16225.pdf https://regulations.justia.com/regulations/fedreg/2013/07/08/2013-16218.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2013-07-08T00:00:00-07:00 2013-07-08T00:00:00-07:00 2013-16218 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-08/pdf/2013-16218.pdf https://regulations.justia.com/regulations/fedreg/2013/07/05/2013-16272.html Notice - GDT Tek, Inc., Gemini Explorations, Inc., Genetic Vectors, Inc., and Global Gate Property Corp.; Order of Suspension of Trading 2013-07-05T00:00:00-07:00 2013-07-05T00:00:00-07:00 2013-16272 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-05/pdf/2013-16272.pdf https://regulations.justia.com/regulations/fedreg/2013/07/05/2013-16091.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 2013-07-05T00:00:00-07:00 2013-07-05T00:00:00-07:00 2013-16091 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-05/pdf/2013-16091.pdf https://regulations.justia.com/regulations/fedreg/2013/07/05/2013-16090.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide a Last Sale Data Feed 2013-07-05T00:00:00-07:00 2013-07-05T00:00:00-07:00 2013-16090 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-05/pdf/2013-16090.pdf https://regulations.justia.com/regulations/fedreg/2013/07/05/2013-16089.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Competitive Liquidity Provider Program 2013-07-05T00:00:00-07:00 2013-07-05T00:00:00-07:00 2013-16089 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-05/pdf/2013-16089.pdf https://regulations.justia.com/regulations/fedreg/2013/07/05/2013-16088.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Require That All Locked-In Trade Data Submitted to It for Trade Recording Be Submitted in Real-time 2013-07-05T00:00:00-07:00 2013-07-05T00:00:00-07:00 2013-16088 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-05/pdf/2013-16088.pdf https://regulations.justia.com/regulations/fedreg/2013/07/05/2013-16087.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Fees Assessed Under NASDAQ Rule 7034 for Certain Co-Location Services 2013-07-05T00:00:00-07:00 2013-07-05T00:00:00-07:00 2013-16087 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-05/pdf/2013-16087.pdf https://regulations.justia.com/regulations/fedreg/2013/07/05/2013-16086.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice Filing To Require That All Locked-in Trade Data Submitted to It for Trade Recording Be Submitted in Real-Time 2013-07-05T00:00:00-07:00 2013-07-05T00:00:00-07:00 2013-16086 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-05/pdf/2013-16086.pdf https://regulations.justia.com/regulations/fedreg/2013/07/05/2013-16075.html Notice - Order Exempting Market Makers Participating in NASDAQ Stock Market LLC's Market Quality Program From Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 Thereunder 2013-07-05T00:00:00-07:00 2013-07-05T00:00:00-07:00 2013-16075 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-05/pdf/2013-16075.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-16025.html Notice - Charles Schwab Investment Management, Inc., et al.; 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-16025 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-16025.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-16024.html Notice - ProShare Advisors LLC, et al.; Notice of Application 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-16024 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-16024.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15999.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 3 and Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3 Thereto, To Clear Contracts Traded on the LIFFE Administration and Management Market 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15999 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15999.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15936.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval to Proposed Rule Change Amending and Restating the Amended and Restated By-Laws of BATS Y-Exchange, Inc. 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15936 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15936.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15935.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval to Proposed Rule Change Amending and Restating the Amended and Restated By-Laws of BATS Exchange, Inc. 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15935 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15935.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15934.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 6.91 To Modify the Information Disseminated at the Initiation of a Complex Order Auction 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15934 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15934.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15933.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 980NY To Modify the Information Disseminated at the Initiation of a Complex Order Auction 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15933 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15933.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15932.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 to Automatically Prevent Entry of Zero Display Reserve Orders Marked “Sell Short” 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15932 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15932.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15931.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross (“Cross”) 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15931 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15931.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15930.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize and Clarify Language Within the DTC Service Guides Regarding Restrictions on Use of Information and Data Distributed by DTC 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15930 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15930.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15929.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a Connectivity Option Through Points of Presence 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15929 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15929.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15927.html Notice - Order Pursuant to Section 17A of the Securities Exchange Act of 1934 Granting Exemption From the Clearing Agency Registration Requirement Under Section 17A(b) of the Exchange Act for ICE Clear Europe Limited in Connection With Its Proposal To Clear Contracts Traded on the LIFFE Administration and Management Market 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15927 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15927.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15918.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extending the AIM Pilot Program 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15918 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15918.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15917.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extending AIM Pilot Programs 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15917 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15917.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15916.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Proposing an Amendment to the Bylaws of Its Wholly-Owned Subsidiary, NYSE Regulation, Inc. (“NYSE Regulation”), To Eliminate a Requirement That Not Less Than Two Members of the Board of Directors of NYSE Regulation Must Qualify as “Fair Representation Candidates” 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15916 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15916.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15915.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change Relating to the EDGA Exchange, Inc.'s Routing Broker Dealer, as Described in EDGA Rule 2.12(b) 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15915 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15915.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15914.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change Relating to the EDGX Exchange, Inc.'s Routing Broker Dealer, as Described in EDGX Rule 2.12(b) 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15914 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15914.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15913.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Proposing To: (i) Delete the Sections in the Listed Company Manual (the “Manual”) Containing the Listing Application Materials (Including the Listing Application and the Listing Agreement) and Adopt Updated Listing Application Materials That Will Be Posted on the Exchange's Web Site; and (ii) Adopt as New Rules Certain Provisions That Are Currently Included in the Various Forms of Agreements That Are in the Manual, as Well as Some Additional New Rules That Make Explicit Existing Exchange Policies With Respect to Initial Listings 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15913 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15913.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15912.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.5(c), NBBO Offset Peg Order 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15912 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15912.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15911.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.5(c), NBBO Offset Peg Order 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15911 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15911.pdf https://regulations.justia.com/regulations/fedreg/2013/07/03/2013-15897.html Notice - Self-Regulatory Organizations; The Depository Trust Company (“DTC”); Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Fee Associated With the Expansion of DTC's Ability To Collect and Pass Through Fees Owed by Participants to American Depositary Receipt Agents 2013-07-03T00:00:00-07:00 2013-07-03T00:00:00-07:00 2013-15897 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-03/pdf/2013-15897.pdf https://regulations.justia.com/regulations/fedreg/2013/07/02/2013-15847.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Message Types and Connectivity 2013-07-02T00:00:00-07:00 2013-07-02T00:00:00-07:00 2013-15847 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-02/pdf/2013-15847.pdf https://regulations.justia.com/regulations/fedreg/2013/07/02/2013-15846.html Notice - First Trust Exchange-Traded Fund, et al.; Notice of Application 2013-07-02T00:00:00-07:00 2013-07-02T00:00:00-07:00 2013-15846 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-02/pdf/2013-15846.pdf https://regulations.justia.com/regulations/fedreg/2013/07/02/2013-15842.html Notice - Invesco Advisers, Inc., et al.; Notice of Application 2013-07-02T00:00:00-07:00 2013-07-02T00:00:00-07:00 2013-15842 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-02/pdf/2013-15842.pdf https://regulations.justia.com/regulations/fedreg/2013/07/02/2013-15841.html Notice - The Dreyfus Corporation, et al.; Notice of Application 2013-07-02T00:00:00-07:00 2013-07-02T00:00:00-07:00 2013-15841 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-02/pdf/2013-15841.pdf https://regulations.justia.com/regulations/fedreg/2013/07/02/2013-15781.html Notice - ETF Issuer Solutions Inc., et al.; Notice of Application 2013-07-02T00:00:00-07:00 2013-07-02T00:00:00-07:00 2013-15781 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-02/pdf/2013-15781.pdf https://regulations.justia.com/regulations/fedreg/2013/07/02/2013-15780.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7130 (Execution and Price/Time Priority) To Adjust the NBBO Exposure Period 2013-07-02T00:00:00-07:00 2013-07-02T00:00:00-07:00 2013-15780 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-02/pdf/2013-15780.pdf https://regulations.justia.com/regulations/fedreg/2013/07/02/2013-15779.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing To List and Trade Shares of Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF Under NYSE Arca Equities Rule 8.200 2013-07-02T00:00:00-07:00 2013-07-02T00:00:00-07:00 2013-15779 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-07-02/pdf/2013-15779.pdf 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