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

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/10/02?registers=between Wed, 01 May 2024 23:06:14 -0700 Wed, 01 May 2024 23:06:14 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/10/02?registers=between Notice - In the Matter of China Ruitai International Holdings Co., Ltd.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24202.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24202.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24202 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24202.pdf Notice - Guinness Atkinson Asset Management, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24024.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24024.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24024 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24024.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend MSRB Rules G-8, G-11, and G-32 To Include Provisions Specifically Tailored for Retail Order Periods https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24021.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24021.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24021 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24021.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24020.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24020.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24020 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24020.pdf Notice - Joint Industry Plan; Order Approving 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. https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24019.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24019.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24019 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24019.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24018.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24018.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24018 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24018.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i)(H) To Change The Required Advance Notice Period For Submitting Certain Notices to the Exchange https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24017.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24017.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24017 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24017.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24016.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24016.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24016 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24016.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposal To Amend Rule 24.7 To Add Factors for Determining Whether To Halt Volatility Index Options Trading https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24015.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24015.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24015 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24015.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24014.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24014.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24014 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24014.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24013.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24013.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24013 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24013.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to Securities Exchange Act Rule 19d-1(c)(2)) https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24012.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24012.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24012 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24012.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Regarding Calculation of the Mid-Point Passive Liquidity Order Tier https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24011.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24011.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24011 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24011.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128 and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4) https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24010.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24010.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24010 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24010.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 7.10 and Removing References to Individual Security Trading Pauses Contained in Rule 7.10(c)(4) https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24009.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24009.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24009 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24009.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128-Equities and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4)-Equities https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24008.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24008.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24008 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24008.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892 https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24007.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24007.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24007 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24007.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24006.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24006.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24006 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24006.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24005.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24005.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24005 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24005.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24004.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24004.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24004 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24004.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13, Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24003.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24003.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24003 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24003.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.13, Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24002.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24002.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24002 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24002.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24001.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24001.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24001 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24001.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX Clearly Erroneous Policy Pilot Program https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24000.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24000.html Wed, 02 Oct 2013 00:00:00 -0700 2013-24000 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24000.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Message Types, Connectivity and Bandwidth Allowance https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23999.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23999.html Wed, 02 Oct 2013 00:00:00 -0700 2013-23999 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-23999.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23914.html https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23914.html Wed, 02 Oct 2013 00:00:00 -0700 2013-23914 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-23914.pdf