Securities and Exchange Commission September 2013 – Federal Register Recent Federal Regulation Documents

Results 101 - 145 of 145
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)
Document Number: 2013-21930
Type: Notice
Date: 2013-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21930.html
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
Document Number: 2013-21929
Type: Notice
Date: 2013-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21929.html
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
Document Number: 2013-21928
Type: Notice
Date: 2013-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/10/2013-21928.html
Sunshine Act Meeting
Document Number: 2013-22040
Type: Notice
Date: 2013-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-22040.html
China Cablecom Holdings Ltd., Order of Suspension of Trading
Document Number: 2013-21970
Type: Notice
Date: 2013-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21970.html
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
Document Number: 2013-21969
Type: Notice
Date: 2013-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21969.html
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
Document Number: 2013-21816
Type: Notice
Date: 2013-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21816.html
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
Document Number: 2013-21815
Type: Notice
Date: 2013-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21815.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Document Number: 2013-21814
Type: Notice
Date: 2013-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21814.html
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
Document Number: 2013-21813
Type: Notice
Date: 2013-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/09/2013-21813.html
In the Matter of K's Media, File No. 500-1; Order of Suspension of Trading
Document Number: 2013-21839
Type: Notice
Date: 2013-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21839.html
China Lithium Technologies, Inc. and China Wi-Max Communications, Inc.; Order of Suspension of Trading
Document Number: 2013-21838
Type: Notice
Date: 2013-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21838.html
Sunshine Act Meeting
Document Number: 2013-21790
Type: Notice
Date: 2013-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21790.html
Notice of Applications for Deregistration Under the Investment Company Act of 1940
Document Number: 2013-21673
Type: Notice
Date: 2013-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant transferred its assets to Frontier Emerging Markets Portfolio, a series of Morgan Stanley Institutional Fund, Inc. and, on September 17, 2012, made a final distribution to its shareholders based on net asset value. Expenses of $135,070 incurred in connection with the reorganization were paid by applicant. Filing Dates: The application was filed on May 21, 2013, and amended on July 26, 2013. Applicant's Address: c/o Morgan Stanley Investment Management Inc., 522 Fifth Ave., New York, NY 10036.
https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21673.html
Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Document Number: 2013-21659
Type: Notice
Date: 2013-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21659.html
Order Making Fiscal Year 2014 Annual Adjustments to Registration Fee Rates
Document Number: 2013-21642
Type: Notice
Date: 2013-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21642.html
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
Document Number: 2013-21632
Type: Notice
Date: 2013-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21632.html
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
Document Number: 2013-21631
Type: Notice
Date: 2013-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/06/2013-21631.html
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement
Document Number: 2013-21580
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions, Office of the Secretary
The Securities and Exchange Commission (``Commission'') has submitted the sponsored information collection request (ICR) titled, ``Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement,'' to the Office of Management and Budget (OMB) for review and clearance under the emergency processing procedures in accordance with the Paperwork Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. Chapter 35) and 5 CFR 1320.13. OMB approval has been requested by September 23, 2013. In addition, this notice also solicits comment on the three-year extension of the same information collection under 5 CFR 1320.12.
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21580.html
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
Document Number: 2013-21574
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21574.html
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
Document Number: 2013-21573
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21573.html
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
Document Number: 2013-21572
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21572.html
American General Life Insurance Company, et al.
Document Number: 2013-21562
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21562.html
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
Document Number: 2013-21561
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21561.html
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”
Document Number: 2013-21537
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21537.html
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)
Document Number: 2013-21536
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21536.html
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
Document Number: 2013-21535
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21535.html
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”)
Document Number: 2013-21534
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21534.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of First Trust Inflation Managed Fund
Document Number: 2013-21533
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21533.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Regulatory Reporting of Swap Data
Document Number: 2013-21532
Type: Notice
Date: 2013-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/05/2013-21532.html
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
Document Number: 2013-21458
Type: Notice
Date: 2013-09-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/04/2013-21458.html
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
Document Number: 2013-21411
Type: Notice
Date: 2013-09-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/04/2013-21411.html
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)
Document Number: 2013-21410
Type: Notice
Date: 2013-09-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/04/2013-21410.html
Sunshine Act Meeting
Document Number: 2013-21412
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21412.html
Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application
Document Number: 2013-21348
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21348.html
Investment Company Act Release No. 30679; File No. 812-14167
Document Number: 2013-21347
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21347.html
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.
Document Number: 2013-21302
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21302.html
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.
Document Number: 2013-21301
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21301.html
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
Document Number: 2013-21300
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21300.html
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
Document Number: 2013-21299
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21299.html
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
Document Number: 2013-21298
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21298.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7026
Document Number: 2013-21297
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21297.html
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
Document Number: 2013-21296
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21296.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Revenue Sharing Program
Document Number: 2013-21295
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21295.html
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
Document Number: 2013-21294
Type: Notice
Date: 2013-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/09/03/2013-21294.html
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