Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-25T08:44:25-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23954.htmlNotice - Sunshine Act Meeting2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23954Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23954.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23729.htmlNotice - 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”)2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23729Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23729.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23696.htmlNotice - Advisory Committee on Small and Emerging Companies2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23696Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23696.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23687.htmlNotice - Variable Insurance Trust, et al.;2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23687Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23687.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23686.htmlNotice - 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 Contracts2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23686Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23686.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23685.htmlNotice - 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 Period2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23685.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23684.htmlNotice - 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 Members2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23684.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23683.htmlNotice - 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 Pilot2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23683.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23682.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Concerning the Mortgage-Backed Securities Division's Notification of Settlement Process2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23682.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23681.htmlNotice - 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 FINRA2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23681Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23681.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/30/2013-23519.htmlRule - Extension of Temporary Registration of Municipal Advisors2013-09-30T00:00:00-07:002013-09-30T00:00:00-07:002013-23519Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-30/pdf/2013-23519.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/27/2013-23728.htmlNotice - Left Behind Games, Inc., File No. 500-1; Order of Suspension of Trading2013-09-27T00:00:00-07:002013-09-27T00:00:00-07:002013-23728Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-27/pdf/2013-23728.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/27/2013-23541.htmlNotice - The KP Funds and Callan Associates Inc., et al.;2013-09-27T00:00:00-07:002013-09-27T00:00:00-07:002013-23541Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-27/pdf/2013-23541.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/27/2013-23540.htmlNotice - 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 Programs2013-09-27T00:00:00-07:002013-09-27T00:00:00-07:002013-23540Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-27/pdf/2013-23540.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/27/2013-23539.htmlNotice - 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 Market2013-09-27T00:00:00-07:002013-09-27T00:00:00-07:002013-23539Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-27/pdf/2013-23539.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23579.htmlNotice - 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 Trading2013-09-26T00:00:00-07:002013-09-26T00:00:00-07:002013-23579Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23579.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23426.htmlNotice - Principal Management Corporation, et al.; Notice of Application2013-09-26T00:00:00-07:002013-09-26T00:00:00-07:002013-23426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23426.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23425.htmlNotice - 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 Connectivity2013-09-26T00:00:00-07:002013-09-26T00:00:00-07:002013-23425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23425.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23424.htmlNotice - 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 Program2013-09-26T00:00:00-07:002013-09-26T00:00:00-07:002013-23424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23424.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23423.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Related To Enhanced Margin and Guaranty Fund Methodology2013-09-26T00:00:00-07:002013-09-26T00:00:00-07:002013-23423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23423.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23422.htmlNotice - 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 Powers2013-09-26T00:00:00-07:002013-09-26T00:00:00-07:002013-23422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23422.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23421.htmlNotice - 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 VI2013-09-26T00:00:00-07:002013-09-26T00:00:00-07:002013-23421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23421.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/26/2013-23420.htmlNotice - 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 VI2013-09-26T00:00:00-07:002013-09-26T00:00:00-07:002013-23420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-26/pdf/2013-23420.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/25/2013-23288.htmlNotice - 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 Friday2013-09-25T00:00:00-07:002013-09-25T00:00:00-07:002013-23288Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-25/pdf/2013-23288.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23146.htmlNotice - 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, 20132013-09-24T00:00:00-07:002013-09-24T00:00:00-07:002013-23146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23146.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23145.htmlNotice - 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, 20132013-09-24T00:00:00-07:002013-09-24T00:00:00-07:002013-23145Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23145.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23128.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clear Contracts Traded on ICE Endex2013-09-24T00:00:00-07:002013-09-24T00:00:00-07:002013-23128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23128.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23127.htmlNotice - 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 Composition2013-09-24T00:00:00-07:002013-09-24T00:00:00-07:002013-23127Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23127.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23126.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate References to Obsolete Functionality2013-09-24T00:00:00-07:002013-09-24T00:00:00-07:002013-23126Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23126.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/24/2013-23125.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate References to Obsolete Functionality2013-09-24T00:00:00-07:002013-09-24T00:00:00-07:002013-23125Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-24/pdf/2013-23125.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23144.htmlNotice - Home System Group, Order of Suspension of Trading2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23144.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23143.htmlNotice - 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 Trading2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23143.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23101.htmlNotice - Sunshine Act Meeting2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23101Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23101.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23012.htmlNotice - Submission for OMB Review; Comment Request2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23012Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23012.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23011.htmlNotice - Submission for OMB Review; Comment Request2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23011Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23011.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23010.htmlNotice - 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.2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23010Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23010.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23009.htmlNotice - Consolidated Tape Association; Notice of Filing of the Eighteenth Substantive Amendment to the Second Restatement of the CTA Plan2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23009Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23009.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23008.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Permit Complex Orders To Participate in Price Improvement Periods2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23008Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23008.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23007.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees September 17, 2013.2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23007.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23006.htmlNotice - 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 Exceptions2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23006.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/23/2013-23005.htmlNotice - 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 Options2013-09-23T00:00:00-07:002013-09-23T00:00:00-07:002013-23005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-23/pdf/2013-23005.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23043.htmlNotice - Patch International, Inc., QuadTech International, Inc., Strategic Resources, Ltd., and Virtual Medical Centre, Inc.; Order of Suspension of Trading2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-23043Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23043.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23042.htmlNotice - 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 Trading2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-23042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23042.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23041.htmlNotice - 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 Trading2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-23041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23041.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23040.htmlNotice - 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 Trading2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-23040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23040.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-23013.htmlNotice - Sunshine Act Meeting2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-23013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-23013.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22911.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule Sections II and IV2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-22911Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22911.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22884.htmlNotice - 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)2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-22884Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22884.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22883.htmlNotice - 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. 12013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-22883Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22883.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22882.htmlNotice - 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 Products2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-22882Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22882.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22881.htmlNotice - 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 Fee2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-22881Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22881.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-22880.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change To Modify the Complex Order Filter2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-22880Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-22880.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/20/2013-21677.htmlProposed Rule - Credit Risk Retention2013-09-20T00:00:00-07:002013-09-20T00:00:00-07:002013-21677Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-20/pdf/2013-21677.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/19/2013-22910.htmlNotice - PacWest Equities, Inc.; Order of Suspension of Trading2013-09-19T00:00:00-07:002013-09-19T00:00:00-07:002013-22910Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-19/pdf/2013-22910.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/19/2013-22788.htmlNotice - 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 Markets2013-09-19T00:00:00-07:002013-09-19T00:00:00-07:002013-22788Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-19/pdf/2013-22788.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22822.htmlNotice - Sunshine Act Meeting2013-09-18T00:00:00-07:002013-09-18T00:00:00-07:002013-22822Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22822.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22787.htmlNotice - Sunshine Act Meeting2013-09-18T00:00:00-07:002013-09-18T00:00:00-07:002013-22787Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22787.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22653.htmlNotice - 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.2013-09-18T00:00:00-07:002013-09-18T00:00:00-07:002013-22653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22653.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22652.htmlNotice - 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.2013-09-18T00:00:00-07:002013-09-18T00:00:00-07:002013-22652Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22652.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22651.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGX Exchange, Inc. Fee Schedule2013-09-18T00:00:00-07:002013-09-18T00:00:00-07:002013-22651Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22651.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22650.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGA Exchange, Inc. Fee Schedule2013-09-18T00:00:00-07:002013-09-18T00:00:00-07:002013-22650Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22650.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22649.htmlNotice - 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 Schedule2013-09-18T00:00:00-07:002013-09-18T00:00:00-07:002013-22649Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22649.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/18/2013-22648.htmlNotice - 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 Orders2013-09-18T00:00:00-07:002013-09-18T00:00:00-07:002013-22648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22648.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22513.htmlNotice - 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 Friday2013-09-17T00:00:00-07:002013-09-17T00:00:00-07:002013-22513Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22513.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22512.htmlNotice - 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 Friday2013-09-17T00:00:00-07:002013-09-17T00:00:00-07:002013-22512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22512.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22511.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule2013-09-17T00:00:00-07:002013-09-17T00:00:00-07:002013-22511Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22511.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22510.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-09-17T00:00:00-07:002013-09-17T00:00:00-07:002013-22510Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22510.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/17/2013-22509.htmlNotice - 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 Period2013-09-17T00:00:00-07:002013-09-17T00:00:00-07:002013-22509Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-17/pdf/2013-22509.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22554.htmlNotice - Axcess International, Inc., Gamma Pharmaceuticals, Inc., Innovex, Inc, Knight Energy Corp., Komodo, Inc., Uphonia, Inc., and Wilson Brothers USA, Inc., Order of Suspension of Trading2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22554.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22553.htmlNotice - In the Matter of Carbiz, Inc., InZon Corporation, IQ Micro, Inc., Irwin Financial Corporation, and Princeton Media Group, Inc.; Order of Suspension of Trading2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22553.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22508.htmlNotice - Sunshine Act Meeting2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22508.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22405.htmlNotice - 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 Security2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22405Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22405.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22404.htmlNotice - 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 Schedule2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22404Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22404.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22403.htmlNotice - 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 Schedule2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22403Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22403.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22402.htmlNotice - 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 Index2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22402Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22402.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22401.htmlNotice - 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)2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22401Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22401.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22400.htmlNotice - 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.2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22400Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22400.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22399.htmlNotice - 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 Facility2013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22399Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22399.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22398.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 10142013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22398Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22398.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/16/2013-22397.htmlNotice - 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 8.6002013-09-16T00:00:00-07:002013-09-16T00:00:00-07:002013-22397Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-16/pdf/2013-22397.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22306.htmlNotice - 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.2013-09-13T00:00:00-07:002013-09-13T00:00:00-07:002013-22306Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22306.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22305.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Fee Schedule2013-09-13T00:00:00-07:002013-09-13T00:00:00-07:002013-22305Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22305.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22258.htmlNotice - Proposed Collection; Comment Request2013-09-13T00:00:00-07:002013-09-13T00:00:00-07:002013-22258Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22258.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22257.htmlNotice - Proposed Collection; Comment Request2013-09-13T00:00:00-07:002013-09-13T00:00:00-07:002013-22257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22257.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/13/2013-22256.htmlNotice - 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 ETF2013-09-13T00:00:00-07:002013-09-13T00:00:00-07:002013-22256Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-13/pdf/2013-22256.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22302.htmlNotice - 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 Trading2013-09-12T00:00:00-07:002013-09-12T00:00:00-07:002013-22302Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22302.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22301.htmlNotice - 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 Trading2013-09-12T00:00:00-07:002013-09-12T00:00:00-07:002013-22301Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22301.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22298.htmlNotice - 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 Trading2013-09-12T00:00:00-07:002013-09-12T00:00:00-07:002013-22298Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22298.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22167.htmlNotice - 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 144A2013-09-12T00:00:00-07:002013-09-12T00:00:00-07:002013-22167Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22167.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22166.htmlNotice - 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 8.6002013-09-12T00:00:00-07:002013-09-12T00:00:00-07:002013-22166Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22166.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22165.htmlNotice - 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)2013-09-12T00:00:00-07:002013-09-12T00:00:00-07:002013-22165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22165.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22164.htmlNotice - 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 Products2013-09-12T00:00:00-07:002013-09-12T00:00:00-07:002013-22164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22164.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/12/2013-22163.htmlNotice - 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 Program2013-09-12T00:00:00-07:002013-09-12T00:00:00-07:002013-22163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-12/pdf/2013-22163.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/11/2013-22137.htmlNotice - North China Horticulture, Inc., File No. 500-1; Order of Suspension of Trading2013-09-11T00:00:00-07:002013-09-11T00:00:00-07:002013-22137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-11/pdf/2013-22137.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/11/2013-22058.htmlNotice - 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 Fee2013-09-11T00:00:00-07:002013-09-11T00:00:00-07:002013-22058Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-11/pdf/2013-22058.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21936.htmlNotice - 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 70602013-09-10T00:00:00-07:002013-09-10T00:00:00-07:002013-21936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21936.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21934.htmlNotice - 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 Fee2013-09-10T00:00:00-07:002013-09-10T00:00:00-07:002013-21934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21934.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21933.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-09-10T00:00:00-07:002013-09-10T00:00:00-07:002013-21933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21933.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21932.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-09-10T00:00:00-07:002013-09-10T00:00:00-07:002013-21932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21932.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21931.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-09-10T00:00:00-07:002013-09-10T00:00:00-07:002013-21931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21931.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21930.htmlNotice - 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)2013-09-10T00:00:00-07:002013-09-10T00:00:00-07:002013-21930Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21930.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21929.htmlNotice - 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 Fee2013-09-10T00:00:00-07:002013-09-10T00:00:00-07:002013-21929Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21929.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21928.htmlNotice - 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 Options2013-09-10T00:00:00-07:002013-09-10T00:00:00-07:002013-21928Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21928.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/09/2013-22040.htmlNotice - Sunshine Act Meeting2013-09-09T00:00:00-07:002013-09-09T00:00:00-07:002013-22040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-22040.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21970.htmlNotice - China Cablecom Holdings Ltd., Order of Suspension of Trading2013-09-09T00:00:00-07:002013-09-09T00:00:00-07:002013-21970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21970.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21969.htmlNotice - Anhui Taiyang Poultry Co., Inc.; a/k/a The Parkview Group, Inc.; Business Development Solutions, Inc., and Tsingyuan Brewery Ltd.; Order of Suspension of Trading2013-09-09T00:00:00-07:002013-09-09T00:00:00-07:002013-21969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21969.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21816.htmlNotice - 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 Thereunder2013-09-09T00:00:00-07:002013-09-09T00:00:00-07:002013-21816Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21816.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21815.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee2013-09-09T00:00:00-07:002013-09-09T00:00:00-07:002013-21815Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21815.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21814.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee2013-09-09T00:00:00-07:002013-09-09T00:00:00-07:002013-21814Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21814.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21813.htmlNotice - 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 Communications2013-09-09T00:00:00-07:002013-09-09T00:00:00-07:002013-21813Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-09/pdf/2013-21813.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21839.htmlNotice - In the Matter of K's Media, File No. 500-1; Order of Suspension of Trading2013-09-06T00:00:00-07:002013-09-06T00:00:00-07:002013-21839Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21839.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21838.htmlNotice - China Lithium Technologies, Inc. and China Wi-Max Communications, Inc.; Order of Suspension of Trading2013-09-06T00:00:00-07:002013-09-06T00:00:00-07:002013-21838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21838.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21790.htmlNotice - Sunshine Act Meeting2013-09-06T00:00:00-07:002013-09-06T00:00:00-07:002013-21790Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21790.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21673.htmlNotice - Notice of Applications for Deregistration Under the Investment Company Act of 19402013-09-06T00:00:00-07:002013-09-06T00:00:00-07:002013-21673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21673.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21659.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-09-06T00:00:00-07:002013-09-06T00:00:00-07:002013-21659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21659.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21642.htmlNotice - Order Making Fiscal Year 2014 Annual Adjustments to Registration Fee Rates2013-09-06T00:00:00-07:002013-09-06T00:00:00-07:002013-21642Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21642.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21632.htmlNotice - 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 Process2013-09-06T00:00:00-07:002013-09-06T00:00:00-07:002013-21632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21632.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21631.htmlNotice - 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 Change2013-09-06T00:00:00-07:002013-09-06T00:00:00-07:002013-21631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-06/pdf/2013-21631.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21580.htmlNotice - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21580Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21580.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21574.htmlNotice - 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 Center2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21574.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21573.htmlNotice - 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 Center2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21573.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21572.htmlNotice - 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 Center2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21572.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21562.htmlNotice - American General Life Insurance Company, et al.2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21562Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21562.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21561.htmlNotice - 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 Service2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21561Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21561.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21537.htmlNotice - 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”2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21537Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21537.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21536.htmlNotice - 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)2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21536Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21536.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21535.htmlNotice - 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 ETF2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21535.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21534.htmlNotice - 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”)2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21534.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21533.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of First Trust Inflation Managed Fund2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21533.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21532.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Regulatory Reporting of Swap Data2013-09-05T00:00:00-07:002013-09-05T00:00:00-07:002013-21532Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-05/pdf/2013-21532.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/04/2013-21458.htmlNotice - 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 Security2013-09-04T00:00:00-07:002013-09-04T00:00:00-07:002013-21458Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-04/pdf/2013-21458.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/04/2013-21411.htmlNotice - 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 Type2013-09-04T00:00:00-07:002013-09-04T00:00:00-07:002013-21411Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-04/pdf/2013-21411.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/04/2013-21410.htmlNotice - 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)2013-09-04T00:00:00-07:002013-09-04T00:00:00-07:002013-21410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-04/pdf/2013-21410.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21412.htmlNotice - Sunshine Act Meeting2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21412Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21412.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21348.htmlNotice - Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21348Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21348.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21347.htmlNotice - Investment Company Act Release No. 30679; File No. 812-141672013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21347Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21347.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21302.htmlNotice - 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.2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21302Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21302.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21301.htmlNotice - 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.2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21301Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21301.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21300.htmlNotice - 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 Rulebook2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21300Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21300.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21299.htmlNotice - 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 Participants2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21299.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21298.htmlNotice - 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 Rules2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21298Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21298.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21297.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 70262013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21297Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21297.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21296.htmlNotice - 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 Program2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21296Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21296.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21295.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Revenue Sharing Program2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21295Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21295.pdfhttps://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21294.htmlNotice - 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 Service2013-09-03T00:00:00-07:002013-09-03T00:00:00-07:002013-21294Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-09-03/pdf/2013-21294.pdf