Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/09?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-04-25T08:44:25-07:00 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/2013/09/30/2013-23954.html Notice - Sunshine Act Meeting 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23954 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23954.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23729.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Chapter XV, at Section 2 Governing Pricing for NASDAQ Members Using the NASDAQ Options Market (“NOM”) 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23729 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23729.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23696.html Notice - Advisory Committee on Small and Emerging Companies 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23696 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23696.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23687.html Notice - Variable Insurance Trust, et al.; 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23687 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23687.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23686.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Order To Implement the Upcoming Change to Friday Expiration Processing and Eventual Transition to Friday Expiration for All Monthly Expiration Contracts 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23686 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23686.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23685.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Listing Standard for Reverse Merger Companies Set Forth in Section 102.01F of The Exchange's Listed Company Manual to Harmonize With Nasdaq Stock Market Rules That Require the Timely Filing of All Required Reports for the Most Recent 12-Month Period 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23685 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23685.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23684.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change to Revise OCC 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 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23684 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23684.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23683.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23683 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23683.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23682.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Concerning the Mortgage-Backed Securities Division's Notification of Settlement Process 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23682 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23682.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23681.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Clarify the Classification and Reporting of Certain Securities to FINRA 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23681 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23681.pdf https://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23519.html Rule - Extension of Temporary Registration of Municipal Advisors 2013-09-30T00:00:00-07:00 2013-09-30T00:00:00-07:00 2013-23519 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23519.pdf https://regulations.justia.com/regulations/fedreg/2013/09/27/2013-23728.html Notice - Left Behind Games, Inc., File No. 500-1; Order of Suspension of Trading 2013-09-27T00:00:00-07:00 2013-09-27T00:00:00-07:00 2013-23728 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-27/pdf/2013-23728.pdf https://regulations.justia.com/regulations/fedreg/2013/09/27/2013-23541.html Notice - The KP Funds and Callan Associates Inc., et al.; 2013-09-27T00:00:00-07:00 2013-09-27T00:00:00-07:00 2013-23541 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-27/pdf/2013-23541.pdf https://regulations.justia.com/regulations/fedreg/2013/09/27/2013-23540.html Notice - Self-Regulatory Organizations; The NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Minor Modification To Pricing Incentive Programs 2013-09-27T00:00:00-07:00 2013-09-27T00:00:00-07:00 2013-23540 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-27/pdf/2013-23540.pdf https://regulations.justia.com/regulations/fedreg/2013/09/27/2013-23539.html Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Minor Modifications To Pricing Incentive Programs Under NASDAQ's Schedule of Fees and Credits Applicable To Trading on the NASDAQ Options Market 2013-09-27T00:00:00-07:00 2013-09-27T00:00:00-07:00 2013-23539 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-27/pdf/2013-23539.pdf https://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23579.html Notice - In the Matter of AcuNetx, Inc., Alliance Pharmaceutical Corp., BBV Vietnam SE.A. Acquisition Corp., Cash Technologies, Inc., Conspiracy Entertainment Holdings, Inc., Dematco, Inc., and Interactive Systems Worldwide, Inc.; Order of Suspension of Trading 2013-09-26T00:00:00-07:00 2013-09-26T00:00:00-07:00 2013-23579 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23579.pdf https://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23426.html Notice - Principal Management Corporation, et al.; Notice of Application 2013-09-26T00:00:00-07:00 2013-09-26T00:00:00-07:00 2013-23426 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23426.pdf https://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23425.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Existing Fees To Receive CME Group Multi-Cast Market Data Feeds via Wireless Connectivity 2013-09-26T00:00:00-07:00 2013-09-26T00:00:00-07:00 2013-23425 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23425.pdf https://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23424.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Competitive Liquidity Provider Program 2013-09-26T00:00:00-07:00 2013-09-26T00:00:00-07:00 2013-23424 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23424.pdf https://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23423.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Related To Enhanced Margin and Guaranty Fund Methodology 2013-09-26T00:00:00-07:00 2013-09-26T00:00:00-07:00 2013-23423 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23423.pdf https://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23422.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes That Address the Exchanges' Emergency Powers 2013-09-26T00:00:00-07:00 2013-09-26T00:00:00-07:00 2013-23422 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23422.pdf https://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23421.html 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 High Income Fund of First Trust Exchange-Traded Fund VI 2013-09-26T00:00:00-07:00 2013-09-26T00:00:00-07:00 2013-23421 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23421.pdf https://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23420.html 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 Low Beta Income Fund of First Trust Exchange-Traded Fund VI 2013-09-26T00:00:00-07:00 2013-09-26T00:00:00-07:00 2013-23420 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23420.pdf https://regulations.justia.com/regulations/fedreg/2013/09/25/2013-23288.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Temporary 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 2013-09-25T00:00:00-07:00 2013-09-25T00:00:00-07:00 2013-23288 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-25/pdf/2013-23288.pdf https://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23146.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a One-Day Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Exchange-Provided Cell Phones on September 11, 2013 2013-09-24T00:00:00-07:00 2013-09-24T00:00:00-07:00 2013-23146 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23146.pdf https://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23145.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a One-Day Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Exchange-Provided Cell Phones on September 11, 2013 2013-09-24T00:00:00-07:00 2013-09-24T00:00:00-07:00 2013-23145 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23145.pdf https://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23128.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clear Contracts Traded on ICE Endex 2013-09-24T00:00:00-07:00 2013-09-24T00:00:00-07:00 2013-23128 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23128.pdf https://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23127.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Amendments to the Code of Arbitration Procedure for Customer Disputes Concerning Panel Composition 2013-09-24T00:00:00-07:00 2013-09-24T00:00:00-07:00 2013-23127 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23127.pdf https://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23126.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate References to Obsolete Functionality 2013-09-24T00:00:00-07:00 2013-09-24T00:00:00-07:00 2013-23126 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23126.pdf https://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23125.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate References to Obsolete Functionality 2013-09-24T00:00:00-07:00 2013-09-24T00:00:00-07:00 2013-23125 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23125.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23144.html Notice - Home System Group, Order of Suspension of Trading 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23144 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23144.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23143.html Notice - American Asset Development, Inc., aVinci Media Corp., Ceragenix Pharmaceuticals, Inc., Marshall Holdings International, Inc., MedCom USA, Incorporated, and Millenium Holding Group, Inc., Order of Suspension of Trading 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23143 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23143.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23101.html Notice - Sunshine Act Meeting 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23101 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23101.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23012.html Notice - Submission for OMB Review; Comment Request 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23012 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23012.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23011.html Notice - Submission for OMB Review; Comment Request 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23011 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23011.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23010.html Notice - Joint Industry Plan; Notice of Filing of Amendment No. 30 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23010 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23010.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23009.html Notice - Consolidated Tape Association; Notice of Filing of the Eighteenth Substantive Amendment to the Second Restatement of the CTA Plan 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23009 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23009.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23008.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Permit Complex Orders To Participate in Price Improvement Periods 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23008 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23008.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23007.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees September 17, 2013. 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23007 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23007.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23006.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.91 To Specify That LMMs Receive Execution Allocations of Incoming Electronic Complex Orders and Complex Order Auction Eligible Orders in Accordance With the Guaranteed Participation Provision of Rule 6.76A(a)(1)(A), Without Any Exceptions 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23006 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23006.pdf https://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23005.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Appointment Cost of IWM Options 2013-09-23T00:00:00-07:00 2013-09-23T00:00:00-07:00 2013-23005 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23005.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23043.html Notice - Patch International, Inc., QuadTech International, Inc., Strategic Resources, Ltd., and Virtual Medical Centre, Inc.; Order of Suspension of Trading 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-23043 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23043.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23042.html Notice - Municipal Mortgage & Equity LLC, Prolink Holdings Corp., RPM Technologies, Inc., SARS Corp., Secured Digital Storage Corp., Siboney Corp., SiriCOMM, Inc., and Standard Management Corp.; Order of Suspension of Trading 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-23042 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23042.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23041.html Notice - A.G. Volney Center, Inc. (f/k/a Buddha Steel, Inc.), China Green Material Technologies, Inc., China Tractor Holdings, Inc., and Franklin Towers Enterprises, Inc.; Order of Suspension of Trading 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-23041 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23041.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23040.html Notice - American Energy Production, Inc., Best Energy Services, Inc., Community Central Bank Corporation, Explortex Energy, Inc., HemoBioTech, Inc., Larrea Biosciences Corporation, MBI Financial, Inc., and Million Dollar Saloon, Inc.; Order of Suspension of Trading 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-23040 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23040.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23013.html Notice - Sunshine Act Meeting 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-23013 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23013.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22911.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule Sections II and IV 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-22911 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22911.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22884.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error and an Incorrect Cross Reference in Rule 5635(e)(4) 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-22884 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22884.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22883.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Amendments to the Discovery Guide Used in Customer Arbitration Proceedings, as Modified by Amendment No. 1 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-22883 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22883.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22882.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Fees and Fee Waivers for Certain Exchange Traded Products 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-22882 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22882.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22881.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 604, Continuing Education for Registered Persons, and To Adopt a Corresponding Fee 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-22881 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22881.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22880.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change To Modify the Complex Order Filter 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-22880 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22880.pdf https://regulations.justia.com/regulations/fedreg/2013/09/20/2013-21677.html Proposed Rule - Credit Risk Retention 2013-09-20T00:00:00-07:00 2013-09-20T00:00:00-07:00 2013-21677 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-21677.pdf https://regulations.justia.com/regulations/fedreg/2013/09/19/2013-22910.html Notice - PacWest Equities, Inc.; Order of Suspension of Trading 2013-09-19T00:00:00-07:00 2013-09-19T00:00:00-07:00 2013-22910 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-19/pdf/2013-22910.pdf https://regulations.justia.com/regulations/fedreg/2013/09/19/2013-22788.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by the NASDAQ UTP Securities Information Processor on August 22, 2013, Which Impacted Trading Across All Markets 2013-09-19T00:00:00-07:00 2013-09-19T00:00:00-07:00 2013-22788 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-19/pdf/2013-22788.pdf https://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22822.html Notice - Sunshine Act Meeting 2013-09-18T00:00:00-07:00 2013-09-18T00:00:00-07:00 2013-22822 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22822.pdf https://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22787.html Notice - Sunshine Act Meeting 2013-09-18T00:00:00-07:00 2013-09-18T00:00:00-07:00 2013-22787 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22787.pdf https://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22653.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. 2013-09-18T00:00:00-07:00 2013-09-18T00:00:00-07:00 2013-22653 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22653.pdf https://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22652.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. 2013-09-18T00:00:00-07:00 2013-09-18T00:00:00-07:00 2013-22652 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22652.pdf https://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22651.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGX Exchange, Inc. Fee Schedule 2013-09-18T00:00:00-07:00 2013-09-18T00:00:00-07:00 2013-22651 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22651.pdf https://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22650.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGA Exchange, Inc. Fee Schedule 2013-09-18T00:00:00-07:00 2013-09-18T00:00:00-07:00 2013-22650 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22650.pdf https://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22649.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 2013-09-18T00:00:00-07:00 2013-09-18T00:00:00-07:00 2013-22649 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22649.pdf https://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22648.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders 2013-09-18T00:00:00-07:00 2013-09-18T00:00:00-07:00 2013-22648 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22648.pdf https://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22513.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of Its Rules Pertaining to the Trading of Options in Order 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 2013-09-17T00:00:00-07:00 2013-09-17T00:00:00-07:00 2013-22513 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22513.pdf https://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22512.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules Pertaining to the Trading of Options in Order 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 2013-09-17T00:00:00-07:00 2013-09-17T00:00:00-07:00 2013-22512 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22512.pdf https://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22511.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule 2013-09-17T00:00:00-07:00 2013-09-17T00:00:00-07:00 2013-22511 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22511.pdf https://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22510.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2013-09-17T00:00:00-07:00 2013-09-17T00:00:00-07:00 2013-22510 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22510.pdf https://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22509.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Make Permanent the Pilot Program of Liquidity Fees and Credits for Certain Transactions in the BOX Price Improvement Period 2013-09-17T00:00:00-07:00 2013-09-17T00:00:00-07:00 2013-22509 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22509.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22554.html Notice - Axcess International, Inc., Gamma Pharmaceuticals, Inc., Innovex, Inc, Knight Energy Corp., Komodo, Inc., Uphonia, Inc., and Wilson Brothers USA, Inc., Order of Suspension of Trading 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22554 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22554.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22553.html Notice - In the Matter of Carbiz, Inc., InZon Corporation, IQ Micro, Inc., Irwin Financial Corporation, and Princeton Media Group, Inc.; Order of Suspension of Trading 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22553 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22553.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22508.html Notice - Sunshine Act Meeting 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22508 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22508.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22405.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice To Amend an Existing Interpretation and Policy To Give OCC Discretion Not To Grant a Particular Clearing Member Margin Credit for an Otherwise Eligible Security 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22405 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22405.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22404.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 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22404 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22404.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22403.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 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22403 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22403.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22402.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List Options on the Nations VolDex Index 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22402 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22402.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22401.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program Under Rule 7014, the Fees Assessed Under Rule 7015(g), and the Schedule of Fees and Rebates Under Rule 7018(a) 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22401 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22401.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22400.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. 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22400 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22400.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22399.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Participation on the Alternative Display Facility 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22399 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22399.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22398.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1014 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22398 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22398.pdf https://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22397.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Franklin Short Duration U.S. Government ETF Under NYSE Arca Equities Rule 8.600 2013-09-16T00:00:00-07:00 2013-09-16T00:00:00-07:00 2013-22397 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22397.pdf https://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22306.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. 2013-09-13T00:00:00-07:00 2013-09-13T00:00:00-07:00 2013-22306 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22306.pdf https://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22305.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Fee Schedule 2013-09-13T00:00:00-07:00 2013-09-13T00:00:00-07:00 2013-22305 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22305.pdf https://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22258.html Notice - Proposed Collection; Comment Request 2013-09-13T00:00:00-07:00 2013-09-13T00:00:00-07:00 2013-22258 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22258.pdf https://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22257.html Notice - Proposed Collection; Comment Request 2013-09-13T00:00:00-07:00 2013-09-13T00:00:00-07:00 2013-22257 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22257.pdf https://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22256.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to the Means of Achieving the Investment Objective Applicable to the AdvisorShares QAM Equity Hedge ETF 2013-09-13T00:00:00-07:00 2013-09-13T00:00:00-07:00 2013-22256 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22256.pdf https://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22302.html Notice - Big Bear Mining Corp., Four Rivers BioEnergy, Inc., Mainland Resources, Inc., QI Systems Inc., South Texas Oil Co., and Synova Healthcare Group, Inc.; Order of Suspension of Trading 2013-09-12T00:00:00-07:00 2013-09-12T00:00:00-07:00 2013-22302 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22302.pdf https://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22301.html Notice - HydroGen Corp., QueryObject Systems Corp., Security Intelligence Technologies, Inc., Skins, Inc., SLM Holdings, Inc., Spring Creek Healthcare Systems, Inc., and Startech Environmental Corp.; Order of Suspension of Trading 2013-09-12T00:00:00-07:00 2013-09-12T00:00:00-07:00 2013-22301 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22301.pdf https://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22298.html Notice - In the Matter of Exmocare, Inc. (n/k/a Second Solar, Inc.), First Transation Management, Inc., jetPADS, Inc., PepperBall Technologies, Inc., Pure Play Music, Ltd., Rim Semiconductor Co., Small Business Co., Inc., StarVox Communications, Inc., Steakhouse Partners, Inc., and Sutura, Inc., Order of Suspension of Trading 2013-09-12T00:00:00-07:00 2013-09-12T00:00:00-07:00 2013-22298 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22298.pdf https://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22167.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Dissemination of Transactions in TRACE-Eligible Securities That Are Effected Pursuant to Securities Act Rule 144A 2013-09-12T00:00:00-07:00 2013-09-12T00:00:00-07:00 2013-22167 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22167.pdf https://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22166.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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 2013-09-12T00:00:00-07:00 2013-09-12T00:00:00-07:00 2013-22166 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22166.pdf https://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22165.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed for Connectivity to the Exchange Under Rule 7015 and Amend the Fees Assessed and Credits Paid Under Exchange Rule 7018(a) 2013-09-12T00:00:00-07:00 2013-09-12T00:00:00-07:00 2013-22165 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22165.pdf https://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22164.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Enhancements to CME's Price Quality Auction Process for CDS Index Products 2013-09-12T00:00:00-07:00 2013-09-12T00:00:00-07:00 2013-22164 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22164.pdf https://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22163.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $0.50 and $1 Strike Price Intervals for Classes in the Short Term Option Series Program 2013-09-12T00:00:00-07:00 2013-09-12T00:00:00-07:00 2013-22163 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22163.pdf https://regulations.justia.com/regulations/fedreg/2013/09/11/2013-22137.html Notice - North China Horticulture, Inc., File No. 500-1; Order of Suspension of Trading 2013-09-11T00:00:00-07:00 2013-09-11T00:00:00-07:00 2013-22137 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-11/pdf/2013-22137.pdf https://regulations.justia.com/regulations/fedreg/2013/09/11/2013-22058.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 640, Continuing Education for Registered Persons and Adopt a Corresponding Fee 2013-09-11T00:00:00-07:00 2013-09-11T00:00:00-07:00 2013-22058 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-11/pdf/2013-22058.pdf https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21936.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Time-Limited Waiver of the Monthly Subscription Fee for New and Existing Subscribers to the Equity Trade Journal for Clearing Firms Service under Rule 7060 2013-09-10T00:00:00-07:00 2013-09-10T00:00:00-07:00 2013-21936 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21936.pdf https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21934.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1120 and To Adopt a Corresponding Fee 2013-09-10T00:00:00-07:00 2013-09-10T00:00:00-07:00 2013-21934 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21934.pdf https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21933.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 2013-09-10T00:00:00-07:00 2013-09-10T00:00:00-07:00 2013-21933 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21933.pdf https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21932.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 2013-09-10T00:00:00-07:00 2013-09-10T00:00:00-07:00 2013-21932 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21932.pdf https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21931.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 2013-09-10T00:00:00-07:00 2013-09-10T00:00:00-07:00 2013-21931 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21931.pdf https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21930.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) 2013-09-10T00:00:00-07:00 2013-09-10T00:00:00-07:00 2013-21930 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21930.pdf https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21929.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 1120 and Adopt a Corresponding Fee 2013-09-10T00:00:00-07:00 2013-09-10T00:00:00-07:00 2013-21929 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21929.pdf https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21928.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 6.72 To Make Permanent the Penny Trading Program for Options 2013-09-10T00:00:00-07:00 2013-09-10T00:00:00-07:00 2013-21928 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21928.pdf https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-22040.html Notice - Sunshine Act Meeting 2013-09-09T00:00:00-07:00 2013-09-09T00:00:00-07:00 2013-22040 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-22040.pdf https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21970.html Notice - China Cablecom Holdings Ltd., Order of Suspension of Trading 2013-09-09T00:00:00-07:00 2013-09-09T00:00:00-07:00 2013-21970 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21970.pdf https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21969.html Notice - Anhui Taiyang Poultry Co., Inc.; a/k/a The Parkview Group, Inc.; Business Development Solutions, Inc., and Tsingyuan Brewery Ltd.; Order of Suspension of Trading 2013-09-09T00:00:00-07:00 2013-09-09T00:00:00-07:00 2013-21969 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21969.pdf https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21816.html Notice - Order Exempting Broker-Dealers Participating in NYSE Arca, Inc.'s Lead Market Maker Incentive Program From Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 Thereunder 2013-09-09T00:00:00-07:00 2013-09-09T00:00:00-07:00 2013-21816 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21816.pdf https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21815.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee 2013-09-09T00:00:00-07:00 2013-09-09T00:00:00-07:00 2013-21815 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21815.pdf https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21814.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee 2013-09-09T00:00:00-07:00 2013-09-09T00:00:00-07:00 2013-21814 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21814.pdf https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21813.html Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend MIAX Rule 1322, Options Communications 2013-09-09T00:00:00-07:00 2013-09-09T00:00:00-07:00 2013-21813 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21813.pdf https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21839.html Notice - In the Matter of K's Media, File No. 500-1; Order of Suspension of Trading 2013-09-06T00:00:00-07:00 2013-09-06T00:00:00-07:00 2013-21839 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21839.pdf https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21838.html Notice - China Lithium Technologies, Inc. and China Wi-Max Communications, Inc.; Order of Suspension of Trading 2013-09-06T00:00:00-07:00 2013-09-06T00:00:00-07:00 2013-21838 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21838.pdf https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21790.html Notice - Sunshine Act Meeting 2013-09-06T00:00:00-07:00 2013-09-06T00:00:00-07:00 2013-21790 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21790.pdf https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21673.html Notice - Notice of Applications for Deregistration Under the Investment Company Act of 1940 2013-09-06T00:00:00-07:00 2013-09-06T00:00:00-07:00 2013-21673 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21673.pdf https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21659.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-09-06T00:00:00-07:00 2013-09-06T00:00:00-07:00 2013-21659 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21659.pdf https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21642.html Notice - Order Making Fiscal Year 2014 Annual Adjustments to Registration Fee Rates 2013-09-06T00:00:00-07:00 2013-09-06T00:00:00-07:00 2013-21642 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21642.pdf https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21632.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Adopt a Directed Order Process 2013-09-06T00:00:00-07:00 2013-09-06T00:00:00-07:00 2013-21632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21632.pdf https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21631.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Certain Obsolete Rules That Relate to Its Disciplinary Proceedings and Make a Conforming Change 2013-09-06T00:00:00-07:00 2013-09-06T00:00:00-07:00 2013-21631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21631.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21580.html Notice - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21580 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21580.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21574.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List To Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21574 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21574.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21573.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule and NYSE Arca Equities Fee Schedule To Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21573 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21573.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21572.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE MKT Equities Price List and NYSE Amex Options Fee Schedule To Provide for Fees for a 40 Gigabit Liquidity Center Network Connection in the Exchange Data Center 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21572 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21572.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21562.html Notice - American General Life Insurance Company, et al. 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21562 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21562.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21561.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change in Order To Terminate the Sealed Envelope Service, Which Is Part of The Depository Trust Company's Custody Service 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21561 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21561.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21537.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend Its Policy Statement Adopted Under Rule 205 Entitled “Back-up Communication Channel to Internet Access” 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21537 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21537.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21536.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21536 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21536.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21535.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Investments in Leveraged Loans by the Peritus High Yield ETF 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21535 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21535.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21534.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Account for Sections 1471 through 1474 of the U.S. Internal Revenue Code and U.S. Treasury Regulations and Other Guidance Thereunder (Commonly Known as the Foreign Account Tax Compliance Act or “FATCA”) 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21534 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21534.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21533.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of First Trust Inflation Managed Fund 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21533 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21533.pdf https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21532.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Regulatory Reporting of Swap Data 2013-09-05T00:00:00-07:00 2013-09-05T00:00:00-07:00 2013-21532 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21532.pdf https://regulations.justia.com/regulations/fedreg/2013/09/04/2013-21458.html Notice - Clearing Agency; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend an Existing Interpretation and Policy To Give OCC Discretion Not To Grant a Particular Clearing Member Margin Credit for an Otherwise Eligible Security 2013-09-04T00:00:00-07:00 2013-09-04T00:00:00-07:00 2013-21458 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-04/pdf/2013-21458.pdf https://regulations.justia.com/regulations/fedreg/2013/09/04/2013-21411.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Commentary to Rule 1080 To Add a New PIXL ISO Order Type 2013-09-04T00:00:00-07:00 2013-09-04T00:00:00-07:00 2013-21411 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-04/pdf/2013-21411.pdf https://regulations.justia.com/regulations/fedreg/2013/09/04/2013-21410.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) 2013-09-04T00:00:00-07:00 2013-09-04T00:00:00-07:00 2013-21410 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-04/pdf/2013-21410.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21412.html Notice - Sunshine Act Meeting 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21412 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21412.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21348.html Notice - Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21348 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21348.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21347.html Notice - Investment Company Act Release No. 30679; File No. 812-14167 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21347 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21347.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21302.html Notice - Joint Industry Plan; Notice of Filing of the Fifth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21302 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21302.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21301.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fourth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21301 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21301.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21300.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection-Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21300 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21300.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21299.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Trading Information and Rule Clarity to Phlx Participants 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21299 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21299.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21298.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Rule 910 and Related Phlx Rules 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21298 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21298.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21297.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7026 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21297 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21297.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21296.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 16 Examination Program 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21296 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21296.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21295.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Revenue Sharing Program 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21295 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21295.pdf https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21294.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service 2013-09-03T00:00:00-07:00 2013-09-03T00:00:00-07:00 2013-21294 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21294.pdf