<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/08?registers=between&min-day=1&max-day=31 Wed, 01 May 2024 12:23:35 -0700 Wed, 01 May 2024 12:23:35 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/08?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21232.html https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21232.html Fri, 30 Aug 2013 00:00:00 -0700 2013-21232 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-30/pdf/2013-21232.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21231.html https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21231.html Fri, 30 Aug 2013 00:00:00 -0700 2013-21231 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-30/pdf/2013-21231.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21230.html https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21230.html Fri, 30 Aug 2013 00:00:00 -0700 2013-21230 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-30/pdf/2013-21230.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21187.html https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21187.html Fri, 30 Aug 2013 00:00:00 -0700 2013-21187 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-30/pdf/2013-21187.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21186.html https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21186.html Fri, 30 Aug 2013 00:00:00 -0700 2013-21186 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-30/pdf/2013-21186.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21185.html https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21185.html Fri, 30 Aug 2013 00:00:00 -0700 2013-21185 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-30/pdf/2013-21185.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21184.html https://regulations.justia.com/regulations/fedreg/2013/08/30/2013-21184.html Fri, 30 Aug 2013 00:00:00 -0700 2013-21184 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-30/pdf/2013-21184.pdf Notice - Equinox Funds Trust and Equinox Institutional Asset Management LP; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/08/29/2013-21055.html https://regulations.justia.com/regulations/fedreg/2013/08/29/2013-21055.html Thu, 29 Aug 2013 00:00:00 -0700 2013-21055 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-29/pdf/2013-21055.pdf Notice - SEC Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2013/08/29/2013-21046.html https://regulations.justia.com/regulations/fedreg/2013/08/29/2013-21046.html Thu, 29 Aug 2013 00:00:00 -0700 2013-21046 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-29/pdf/2013-21046.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Standards for Certain Securities https://regulations.justia.com/regulations/fedreg/2013/08/29/2013-21036.html https://regulations.justia.com/regulations/fedreg/2013/08/29/2013-21036.html Thu, 29 Aug 2013 00:00:00 -0700 2013-21036 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-29/pdf/2013-21036.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to Its OTC IRS Clearing Offering Including New Fees and the Addition of Four New Currencies and Two New Rate Options https://regulations.justia.com/regulations/fedreg/2013/08/29/2013-21035.html https://regulations.justia.com/regulations/fedreg/2013/08/29/2013-21035.html Thu, 29 Aug 2013 00:00:00 -0700 2013-21035 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-29/pdf/2013-21035.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving 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, or by Means of a Carve-Out or Spin-Off Transaction https://regulations.justia.com/regulations/fedreg/2013/08/28/2013-20956.html https://regulations.justia.com/regulations/fedreg/2013/08/28/2013-20956.html Wed, 28 Aug 2013 00:00:00 -0700 2013-20956 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-28/pdf/2013-20956.pdf Notice - The Northwestern Mutual Life Insurance Company, et al.; https://regulations.justia.com/regulations/fedreg/2013/08/28/2013-20955.html https://regulations.justia.com/regulations/fedreg/2013/08/28/2013-20955.html Wed, 28 Aug 2013 00:00:00 -0700 2013-20955 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-28/pdf/2013-20955.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VII, Section 6 of the Rules of the NASDAQ Options Market To Permit the Exchange To Establish Wider Bid/Ask Differentials for Certain Options With High Premiums or Other Special Characteristics https://regulations.justia.com/regulations/fedreg/2013/08/28/2013-20934.html https://regulations.justia.com/regulations/fedreg/2013/08/28/2013-20934.html Wed, 28 Aug 2013 00:00:00 -0700 2013-20934 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-28/pdf/2013-20934.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/08/27/2013-20935.html https://regulations.justia.com/regulations/fedreg/2013/08/27/2013-20935.html Tue, 27 Aug 2013 00:00:00 -0700 2013-20935 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-27/pdf/2013-20935.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts https://regulations.justia.com/regulations/fedreg/2013/08/27/2013-20775.html https://regulations.justia.com/regulations/fedreg/2013/08/27/2013-20775.html Tue, 27 Aug 2013 00:00:00 -0700 2013-20775 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-27/pdf/2013-20775.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Optional Anti-Internalization Functionality https://regulations.justia.com/regulations/fedreg/2013/08/27/2013-20774.html https://regulations.justia.com/regulations/fedreg/2013/08/27/2013-20774.html Tue, 27 Aug 2013 00:00:00 -0700 2013-20774 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-27/pdf/2013-20774.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify BATS Registration and Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20746.html https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20746.html Mon, 26 Aug 2013 00:00:00 -0700 2013-20746 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-26/pdf/2013-20746.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify BYX Registration and Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20745.html https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20745.html Mon, 26 Aug 2013 00:00:00 -0700 2013-20745 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-26/pdf/2013-20745.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20681.html https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20681.html Mon, 26 Aug 2013 00:00:00 -0700 2013-20681 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-26/pdf/2013-20681.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20680.html https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20680.html Mon, 26 Aug 2013 00:00:00 -0700 2013-20680 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-26/pdf/2013-20680.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20679.html https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20679.html Mon, 26 Aug 2013 00:00:00 -0700 2013-20679 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-26/pdf/2013-20679.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20678.html https://regulations.justia.com/regulations/fedreg/2013/08/26/2013-20678.html Mon, 26 Aug 2013 00:00:00 -0700 2013-20678 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-26/pdf/2013-20678.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate EDGA Rule 13.4 https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20613.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20613.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20613 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20613.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate EDGX Rule 13.4 https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20612.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20612.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20612 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20612.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change in Connection With the Notification of Settlement Process Used by the Mortgage-Backed Securities Division (“MBSD”) https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20611.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20611.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20611 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20611.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20575.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20575.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20575 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20575.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20574.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20574.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20574 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20574.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20573.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20573.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20573 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20573.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20572.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20572.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20572 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20572.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20571.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20571.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20571 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20571.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change the Expiration Date for Most Options Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20570.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20570.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20570 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20570.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20569.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20569.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20569 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20569.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Topaz Exchange, LLC https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20568.html https://regulations.justia.com/regulations/fedreg/2013/08/23/2013-20568.html Fri, 23 Aug 2013 00:00:00 -0700 2013-20568 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20568.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/08/22/2013-20576.html https://regulations.justia.com/regulations/fedreg/2013/08/22/2013-20576.html Thu, 22 Aug 2013 00:00:00 -0700 2013-20576 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-22/pdf/2013-20576.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Use of Manual Signatures, Reduction of Segregated Long Positions in Accounts With Aggregated Long Positions, Requirements To Be Physically Present, and Other Technical Changes to OCC's By-Laws and Rules to Better Reflect Current Operational Practices https://regulations.justia.com/regulations/fedreg/2013/08/22/2013-20463.html https://regulations.justia.com/regulations/fedreg/2013/08/22/2013-20463.html Thu, 22 Aug 2013 00:00:00 -0700 2013-20463 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-22/pdf/2013-20463.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Continuing Education for Registered Persons https://regulations.justia.com/regulations/fedreg/2013/08/22/2013-20462.html https://regulations.justia.com/regulations/fedreg/2013/08/22/2013-20462.html Thu, 22 Aug 2013 00:00:00 -0700 2013-20462 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-22/pdf/2013-20462.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Benchmark Used in Connection With Settling CME Palm Oil Futures and CME Palm Oil Swaps https://regulations.justia.com/regulations/fedreg/2013/08/22/2013-20461.html https://regulations.justia.com/regulations/fedreg/2013/08/22/2013-20461.html Thu, 22 Aug 2013 00:00:00 -0700 2013-20461 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-22/pdf/2013-20461.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 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 https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20346.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20346.html Wed, 21 Aug 2013 00:00:00 -0700 2013-20346 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-20346.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, Which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name and To Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20345.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20345.html Wed, 21 Aug 2013 00:00:00 -0700 2013-20345 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-20345.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE Arca BBO and NYSE Arca Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20340.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20340.html Wed, 21 Aug 2013 00:00:00 -0700 2013-20340 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-20340.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE MKT BBO and NYSE MKT Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20339.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20339.html Wed, 21 Aug 2013 00:00:00 -0700 2013-20339 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-20339.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in Which NYSE Euronext Will Become a Wholly-Owned Subsidiary of IntercontinentalExchange Group, Inc. https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20338.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20338.html Wed, 21 Aug 2013 00:00:00 -0700 2013-20338 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-20338.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for Display Use of the NYSE BBO and NYSE Trades Market Data Products and Making Certain Technical Changes to the Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20337.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20337.html Wed, 21 Aug 2013 00:00:00 -0700 2013-20337 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-20337.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change 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 https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20336.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20336.html Wed, 21 Aug 2013 00:00:00 -0700 2013-20336 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-20336.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise Its By-Laws and Rules To Make Structural Changes to OCC's Membership/Risk Committee Regarding Public Directors and the Process for Designating Membership/Risk Committee Members https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20335.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20335.html Wed, 21 Aug 2013 00:00:00 -0700 2013-20335 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-20335.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-Location Services and Expand Co-Location Services To Provide for a 40 Gigabit Liquidity Center Network Connection https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20334.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-20334.html Wed, 21 Aug 2013 00:00:00 -0700 2013-20334 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-20334.pdf Rule - Broker-Dealer Reports https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-18738.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-18738.html Wed, 21 Aug 2013 00:00:00 -0700 2013-18738 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-18738.pdf Rule - Financial Responsibility Rules for Broker-Dealers https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-18734.html https://regulations.justia.com/regulations/fedreg/2013/08/21/2013-18734.html Wed, 21 Aug 2013 00:00:00 -0700 2013-18734 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-08-21/pdf/2013-18734.pdf Notice - In the Matter of Redfin Network, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20228.html https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20228.html Mon, 19 Aug 2013 00:00:00 -0700 2013-20228 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-19/pdf/2013-20228.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Non-Penny Pilot Option Rebate To Add Liquidity https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20099.html https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20099.html Mon, 19 Aug 2013 00:00:00 -0700 2013-20099 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-19/pdf/2013-20099.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-Location Services and Expand Co-Location Services To Provide for a 40 Gigabit Liquidity Center Network Connection https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20070.html https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20070.html Mon, 19 Aug 2013 00:00:00 -0700 2013-20070 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-19/pdf/2013-20070.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx Connectivity Options and Fees https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20069.html https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20069.html Mon, 19 Aug 2013 00:00:00 -0700 2013-20069 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-19/pdf/2013-20069.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Describe the Billing Practice for Co-Location Services and Expand Co-Location Services To Provide for a 40 Gigabit Liquidity Center Network Connection https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20068.html https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20068.html Mon, 19 Aug 2013 00:00:00 -0700 2013-20068 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-19/pdf/2013-20068.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .10 to Rule 903 To Modify the Short-Term Option Series Program To Increase the Number of Classes That Are Eligible To Participate in the Program From Five to 30 https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20067.html https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20067.html Mon, 19 Aug 2013 00:00:00 -0700 2013-20067 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-19/pdf/2013-20067.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 6.4 To Modify the Short-Term Option Series Program To Increase the Number of Classes That Are Eligible To Participate in the Program From Five to 30 https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20066.html https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20066.html Mon, 19 Aug 2013 00:00:00 -0700 2013-20066 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-19/pdf/2013-20066.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20065.html https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20065.html Mon, 19 Aug 2013 00:00:00 -0700 2013-20065 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-19/pdf/2013-20065.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Competitive Liquidity Provider Program https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20064.html https://regulations.justia.com/regulations/fedreg/2013/08/19/2013-20064.html Mon, 19 Aug 2013 00:00:00 -0700 2013-20064 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-19/pdf/2013-20064.pdf Notice - CNC Development, Ltd., Exousia Advanced Materials, Inc., and South American Minerals, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20104.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20104.html Fri, 16 Aug 2013 00:00:00 -0700 2013-20104 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-20104.pdf Notice - AIMS Worldwide, Inc., Apollo Capital Group, Inc., CommunitySouth Financial Corp., Last Mile Logistics Group, Inc., Made in America Entertainment, Inc., and Millenia Hope, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20103.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20103.html Fri, 16 Aug 2013 00:00:00 -0700 2013-20103 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-20103.pdf Notice - Altus Pharmaceuticals, Inc., Blackhawk Capital Group BDC, Inc., Cargo Connection Logistics Holding, Inc., Diapulse Corporation of America, Globus International Resources Corp., Kingston Systems, Inc., and Mega Media Group, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20102.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20102.html Fri, 16 Aug 2013 00:00:00 -0700 2013-20102 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-20102.pdf Notice - Soil Biogenics Ltd., File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20101.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20101.html Fri, 16 Aug 2013 00:00:00 -0700 2013-20101 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-20101.pdf Notice - iVoice, Inc., Protectus Medical Devices, Inc., and St. Lawrence Energy Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20100.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-20100.html Fri, 16 Aug 2013 00:00:00 -0700 2013-20100 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-20100.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.5 To Outline the Continuing Education Requirements for Series 56 Licensees and Its Fee Schedule To Include Fees for the Series 56 Examination and Its Related Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19910.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19910.html Fri, 16 Aug 2013 00:00:00 -0700 2013-19910 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-19910.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.5 To Outline the Continuing Education Requirements for Series 56 Licensees and Its Fee Schedule To Include Fees for the Series 56 Examination and Its Related Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19909.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19909.html Fri, 16 Aug 2013 00:00:00 -0700 2013-19909 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-19909.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX Connectivity Options and Fees https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19908.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19908.html Fri, 16 Aug 2013 00:00:00 -0700 2013-19908 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-19908.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA Under the Exchange's Authority and Supervision https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19907.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19907.html Fri, 16 Aug 2013 00:00:00 -0700 2013-19907 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-19907.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of a Proposed Rule Change To Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA Under the Exchange's Authority and Supervision https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19906.html https://regulations.justia.com/regulations/fedreg/2013/08/16/2013-19906.html Fri, 16 Aug 2013 00:00:00 -0700 2013-19906 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-16/pdf/2013-19906.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.03 of the Listed Company Manual To Specify How the Initial Application Fee Is Treated for Certain Issuers That Do Not Immediately List a Security for Which They Already Paid an Initial Application Fee https://regulations.justia.com/regulations/fedreg/2013/08/15/2013-19783.html https://regulations.justia.com/regulations/fedreg/2013/08/15/2013-19783.html Thu, 15 Aug 2013 00:00:00 -0700 2013-19783 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-15/pdf/2013-19783.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19741.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19741.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19741 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19741.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19740.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19740.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19740 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19740.pdf Notice - Special Opportunities Fund, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19693.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19693.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19693 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19693.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19692.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19692.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19692 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19692.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Exchange's Routable Order Program https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19691.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19691.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19691 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19691.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Options Floor Broker Management System Until the End of September 2013 https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19673.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19673.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19673 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19673.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Jumbo SPY Option Transactions https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19672.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19672.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19672 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19672.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule To Amend Rule 24.7 To Add Facts for Determining Whether To Halt Volatility Index Options Trading https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19671.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19671.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19671 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19671.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19670.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19670.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19670 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19670.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19669.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19669.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19669 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19669.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19668.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19668.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19668 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19668.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Subscription Fee for New Subscribers to Latency Optics for a Limited Period https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19667.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19667.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19667 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19667.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 1015 Regarding Accommodation Claims https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19666.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19666.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19666 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19666.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19665.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19665.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19665 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19665.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19664.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19664.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19664 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19664.pdf Notice - Order Temporarily Exempting Certain Broker-Dealers and Certain Transactions From the Recordkeeping and Reporting Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19650.html https://regulations.justia.com/regulations/fedreg/2013/08/14/2013-19650.html Wed, 14 Aug 2013 00:00:00 -0700 2013-19650 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-14/pdf/2013-19650.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19516.html https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19516.html Tue, 13 Aug 2013 00:00:00 -0700 2013-19516 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-19516.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19515.html https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19515.html Tue, 13 Aug 2013 00:00:00 -0700 2013-19515 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-19515.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Single-Sided Order Fees and Credits and the Order Cancellation Fee; Correction https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19514.html https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19514.html Tue, 13 Aug 2013 00:00:00 -0700 2013-19514 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-19514.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19513.html https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19513.html Tue, 13 Aug 2013 00:00:00 -0700 2013-19513 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-19513.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19512.html https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19512.html Tue, 13 Aug 2013 00:00:00 -0700 2013-19512 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-19512.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change Relating To Which Complex Orders Can Initiate a Complex Order Live Auction; Correction https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19511.html https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19511.html Tue, 13 Aug 2013 00:00:00 -0700 2013-19511 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-19511.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Related to Market Maker Risk Parameters and Complex Orders https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19510.html https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19510.html Tue, 13 Aug 2013 00:00:00 -0700 2013-19510 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-19510.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)) https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19509.html https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19509.html Tue, 13 Aug 2013 00:00:00 -0700 2013-19509 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-19509.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Connectivity Options and Fees https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19508.html https://regulations.justia.com/regulations/fedreg/2013/08/13/2013-19508.html Tue, 13 Aug 2013 00:00:00 -0700 2013-19508 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-19508.pdf Notice - Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19409.html https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19409.html Mon, 12 Aug 2013 00:00:00 -0700 2013-19409 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-12/pdf/2013-19409.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19407.html https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19407.html Mon, 12 Aug 2013 00:00:00 -0700 2013-19407 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-12/pdf/2013-19407.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i) To Specify the Procedures To Be Followed if a Listed Derivative Securities Product or a Listed Structured Product Is Based on an Index or Portfolio of Securities and Such Index or Portfolio Is Modified or Replaced https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19406.html https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19406.html Mon, 12 Aug 2013 00:00:00 -0700 2013-19406 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-12/pdf/2013-19406.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19405.html https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19405.html Mon, 12 Aug 2013 00:00:00 -0700 2013-19405 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-12/pdf/2013-19405.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Message To Contracts Traded Ratio Fee in the NYSE Amex Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19404.html https://regulations.justia.com/regulations/fedreg/2013/08/12/2013-19404.html Mon, 12 Aug 2013 00:00:00 -0700 2013-19404 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-12/pdf/2013-19404.pdf Notice - Aspiriant Global Equity Trust and Aspiriant, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19267.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19267.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19267 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19267.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Offer a New Data Feed https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19266.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19266.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19266 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19266.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Offer a New Data Feed https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19265.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19265.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19265 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19265.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Its Fees for Routing of Orders Priced at $1 or More Under Rule 7018(a), as Well as Changes to Its Excess Order Fee Under Rule 7018(m) https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19264.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19264.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19264 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19264.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delisting Series in the STOs and Opening up to Five Consecutive Weekly Expirations of STOs https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19263.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19263.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19263 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19263.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Changes to Its Excess Order Fee https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19262.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19262.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19262 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19262.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change to Its Excess Order Fee Under Rule 7018(d) https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19261.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19261.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19261 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19261.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19260.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19260.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19260 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19260.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19259.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19259.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19259 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19259.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Functionality https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19258.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19258.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19258 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19258.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19257.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19257.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19257 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19257.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Rule Governing Modification of Orders on NASDAQ OMX PSX in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19256.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19256.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19256 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19256.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19255.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19255.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19255 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19255.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19254.html https://regulations.justia.com/regulations/fedreg/2013/08/09/2013-19254.html Fri, 09 Aug 2013 00:00:00 -0700 2013-19254 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-09/pdf/2013-19254.pdf Notice - In the Matter of Hutech21 Co., Ltd.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19249.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19249.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19249 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19249.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending One of the Supplemental Liquidity Provider Credits in its Price List https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19151.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19151.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19151 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19151.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Order Handling https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19150.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19150.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19150 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19150.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Order Handling https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19149.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19149.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19149 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19149.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Halts or Suspension When an Exchange Trading System Experiences Technical Failure or Failures https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19148.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19148.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19148 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19148.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for an Additional 12 Months, To Expire on July 31, 2014 https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19147.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19147.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19147 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19147.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend NYSE Rule 49, Which Addresses the Exchange's Emergency Powers https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19146.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19146.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19146 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19146.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Adopt the Text of New York Stock Exchange Rule 49 as Rule 49-Equities in Order To Authorize Exchange Officials To Exercise the Same Emergency Powers As NYSE Officials May Exercise https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19145.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19145.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19145 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19145.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend NYSE Arca Equities Rule 2.100, Which Provides for Certain Emergency Powers https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19144.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19144.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19144 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19144.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for an Additional 12 Months, To Expire on July 31, 2014 https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19143.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19143.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19143 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19143.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Options Fees and Rebates https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19142.html https://regulations.justia.com/regulations/fedreg/2013/08/08/2013-19142.html Thu, 08 Aug 2013 00:00:00 -0700 2013-19142 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-08/pdf/2013-19142.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19041.html https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19041.html Wed, 07 Aug 2013 00:00:00 -0700 2013-19041 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-07/pdf/2013-19041.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To: (i) Provide Clarification Regarding the Applicability of Certain Provisions of OCC's By-Laws and Rules to Certain U.S. Dollar-Settled Gold Futures Designed to Replicate Positions in the Spot Market; and (ii) Remove Provisions Applicable Only to the Now-Discontinued U.S. Dollar-Settled Gold Futures That Were Based on the Value of Gold in the Spot Market With an Additional Daily Cost of Carry Feature https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19040.html https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19040.html Wed, 07 Aug 2013 00:00:00 -0700 2013-19040 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-07/pdf/2013-19040.pdf Notice - Ranger Alternative Management, L.P. and Ranger Funds Investment Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19039.html https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19039.html Wed, 07 Aug 2013 00:00:00 -0700 2013-19039 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-07/pdf/2013-19039.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19038.html https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19038.html Wed, 07 Aug 2013 00:00:00 -0700 2013-19038 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-07/pdf/2013-19038.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19037.html https://regulations.justia.com/regulations/fedreg/2013/08/07/2013-19037.html Wed, 07 Aug 2013 00:00:00 -0700 2013-19037 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-07/pdf/2013-19037.pdf Notice - In the Matter of Bergamo Acquisition Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/08/06/2013-19044.html https://regulations.justia.com/regulations/fedreg/2013/08/06/2013-19044.html Tue, 06 Aug 2013 00:00:00 -0700 2013-19044 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-06/pdf/2013-19044.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade a P.M.-settled Mini-SPX Index Option Product https://regulations.justia.com/regulations/fedreg/2013/08/06/2013-18900.html https://regulations.justia.com/regulations/fedreg/2013/08/06/2013-18900.html Tue, 06 Aug 2013 00:00:00 -0700 2013-18900 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-06/pdf/2013-18900.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs https://regulations.justia.com/regulations/fedreg/2013/08/06/2013-18899.html https://regulations.justia.com/regulations/fedreg/2013/08/06/2013-18899.html Tue, 06 Aug 2013 00:00:00 -0700 2013-18899 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-06/pdf/2013-18899.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Increase the Royalty Fees Applicable to Non-Customer Transactions in Options on the Russell 2000 Index https://regulations.justia.com/regulations/fedreg/2013/08/06/2013-18898.html https://regulations.justia.com/regulations/fedreg/2013/08/06/2013-18898.html Tue, 06 Aug 2013 00:00:00 -0700 2013-18898 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-06/pdf/2013-18898.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18933.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18933.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18933 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18933.pdf Notice - In the Matter of Zenergy International, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18917.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18917.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18917 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18917.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18764.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18764.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18764 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18764.pdf Notice - ERNY Financial ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18763.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18763.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18763 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18763.pdf Notice - GENCAP Strategies LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18762.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18762.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18762 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18762.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Separate the Powers and Duties Currently Combined in the Office of OCC's Chairman Into Two Offices, Chairman and President, and Create an Additional Directorship To Be Occupied by the President https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18761.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18761.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18761 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18761.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(a)(2) To Specify That the Exchange Would Use The Last Official Closing Price To Calculate the Market Order Trading Collar If There Is No Consolidated Last Sale Price That Trading Day https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18760.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18760.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18760 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18760.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 4170 (Options Communications) https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18759.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18759.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18759 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18759.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18758.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18758.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18758 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18758.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule To Increase the Royalty Fees Applicable to Non-Customer Transactions in Options on the Russell 2000 Index https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18757.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18757.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18757 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18757.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF Repo® Service https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18756.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18756.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18756 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18756.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE Arca Trades Digital Media Data Feed https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18755.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18755.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18755 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18755.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE Trades Digital Media Data Feed https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18754.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18754.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18754 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18754.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Content of the NYSE MKT Trades Digital Media Data Feed https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18753.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18753.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18753 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18753.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule To Include a $60 Session Fee for the Series 56 (S501) Continuing Education https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18752.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18752.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18752 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18752.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of a Proposed Rule Change To Modify the Complex Order Filter https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18751.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18751.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18751 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18751.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Nullification of Trades Involving Catastrophic Errors https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18750.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18750.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18750 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18750.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6, Obvious Errors, of the Rules of the NASDAQ Options Market (“NOM”) https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18749.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18749.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18749 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18749.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending Exchange Rules To Clarify Rules 6.1 and 6.32 https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18748.html https://regulations.justia.com/regulations/fedreg/2013/08/05/2013-18748.html Mon, 05 Aug 2013 00:00:00 -0700 2013-18748 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-05/pdf/2013-18748.pdf Notice - Exchange Traded Concepts, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/08/02/2013-18595.html https://regulations.justia.com/regulations/fedreg/2013/08/02/2013-18595.html Fri, 02 Aug 2013 00:00:00 -0700 2013-18595 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-02/pdf/2013-18595.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the First Trust Morningstar Managed Futures Strategy Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2013/08/02/2013-18594.html https://regulations.justia.com/regulations/fedreg/2013/08/02/2013-18594.html Fri, 02 Aug 2013 00:00:00 -0700 2013-18594 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-02/pdf/2013-18594.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2013/08/02/2013-18593.html https://regulations.justia.com/regulations/fedreg/2013/08/02/2013-18593.html Fri, 02 Aug 2013 00:00:00 -0700 2013-18593 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-02/pdf/2013-18593.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To List Options on the Nations VolDex Index https://regulations.justia.com/regulations/fedreg/2013/08/02/2013-18592.html https://regulations.justia.com/regulations/fedreg/2013/08/02/2013-18592.html Fri, 02 Aug 2013 00:00:00 -0700 2013-18592 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-02/pdf/2013-18592.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC (the “parties”) Concerning Options-Related Sales Practice Matters https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18477.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18477.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18477 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18477.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Topaz Exchange, LLC https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18476.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18476.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18476 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18476.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., Miami International Securities Exchange, LLC, and Topaz Exchange, LLC Concerning Options-Related Market Surveillance https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18475.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18475.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18475 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18475.pdf Notice - Application of Topaz Exchange, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18474.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18474.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18474 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18474.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104-Equities, as Modified by Amendment Nos. 1, 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 Exchanges' Rules Governing the Ability of DMMs To Provide Market Information to Floor Brokers, and To Make Conforming Amendments to Other Rules https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18472.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18472.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18472 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18472.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule With Respect to Cap on Fees for Firm and Broker Dealer Open Outcry Executions https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18471.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18471.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18471 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18471.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Participation on the Alternative Display Facility https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18470.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18470.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18470 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18470.pdf Rule - Delegation of Authority to Director of the Division of Enforcement https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18468.html https://regulations.justia.com/regulations/fedreg/2013/08/01/2013-18468.html Thu, 01 Aug 2013 00:00:00 -0700 2013-18468 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-08-01/pdf/2013-18468.pdf