Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/10/22?limit=200®isters=between&mode=atom2024-05-03T13:59:30-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24776.htmlNotice - Sunshine Act Meeting2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24776Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24776.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24685.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a 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 Beginning on October 10, 2013 Until the Earlier of When Cell Phone Service Is Restored or October 11, 20132013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24685.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24684.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a 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 Beginning on October 10, 2013 Until the Earlier of When Cell Phone Service Is Restored or October 11, 20132013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24684.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24683.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the Dedicated OUCH Port Infrastructure Service2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24683.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24682.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuing Education2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24682.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24681.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 3 to a Proposed Rule Change, as Previously Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24681Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24681.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24680.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24680Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24680.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24678.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 3 to Advance Notice, as Previously Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24678Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24678.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24677.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24677Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24677.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24676.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Short Term Option Series Program2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24676Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24676.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24675.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed for C2 Listed Options2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24675Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24675.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24674.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed for CBOE Listed Options2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24674Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24674.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24673.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24673Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24673.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24671.htmlNotice - Submission for OMB Review; Comment Request2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24671Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24671.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24670.htmlNotice - Submission for OMB Review; Comment Request2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24670Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24670.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24669.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Adopt Price Protection Filters for Electronic Complex Orders2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24669Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24669.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24668.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Require Alternative Trading Systems To Report Volume Information to FINRA and Use Unique Market Participant Identifiers2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24668Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24668.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24667.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Terminate the Sealed Envelope Service, Which Is Part of The Depository Trust Company's Custody Service2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24667Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24667.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24666.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Rule To Adopt Price Protection Filters for Electronic Complex Orders2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24666Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24666.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24665.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 80402013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24665Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24665.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24664.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying Rule 1014 Regarding Daily Quoting Obligations2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24664Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24664.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24663.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 3130 (Exemptions From Position Limits)2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24663Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24663.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24662.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24662Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24662.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24661.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 Schedule2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24661Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24661.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24660.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretive Material to Rule 5050 and Rule 60902013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24660Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24660.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24659.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.2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24659Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24659.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24658.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.2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24658Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24658.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24657.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.2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24657Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24657.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24656.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24656Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24656.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24655.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24655Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24655.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24654.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24654Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24654.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24653.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or Greater2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24653Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24653.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24649.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval to Proposed Rule Change Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24649Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24649.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24648.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2-Equities To Specify That the Definition of An Approved Person Does Not Include a Governmental Entity and Amending Rule 304-Equities To Provide That if a Governmental Entity Directly or Indirectly Owns a Member Organization, Then the Member Organization Must Identify Such Governmental Entity to the Exchange2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24648.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24647.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2 To Specify That the Definition of an Approved Person Does Not Include a Governmental Entity and Amending Rule 304 To Provide That If a Governmental Entity Directly or Indirectly Owns a Member Organization, Then the Member Organization Must Identify Such Governmental Entity to The Exchange2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24647Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24647.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24646.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24646.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24645.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24645Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24645.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24644.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24644Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24644.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24643.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24643Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24643.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24642.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order To Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24642Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24642.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24641.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to PIM and Penny Pilot Periods2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24641Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24641.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24640.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Table of Contents of the Pricing Schedule2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24640Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24640.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24639.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Options Floor Broker Management System2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24639Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24639.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24637.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual To Expand the Suite of Complimentary Products and Services That Are Offered to Certain Current and Newly Listed Companies2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24637Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24637.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24636.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt New Regulatory Fees Payable by Certain Listed Companies and Applicants2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24636Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24636.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24635.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions To Conform With the Rules of Other Self-Regulatory Organizations2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24635Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24635.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24634.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions To Conform With the Rules of Other Self-Regulatory Organizations2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24634Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24634.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24633.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the WisdomTree Bloomberg U.S. Dollar Bullish Fund, WisdomTree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund Under NYSE Arca Equities Rule 8.6002013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24633Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24633.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24632.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in the Exchange's Rules Concerning Unlisted Trading Privileges2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24632.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24631.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection With OCC Cleared Over-the-Counter Options2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24631.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24630.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rule 6.422013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24630.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24629.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of Proposed Rule Change to Amend MSRB Rule A-3, on Membership on the Board, To Modify the Standard of Independence for Public Board Members2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24629.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24610.htmlNotice - Pacific Clean Water Technologies, Inc.; Order of Suspension of Trading2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24610Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24610.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24609.htmlNotice - Order Providing Broker-Dealers a Temporary Exemption From the Requirements of Certain New Amendments to the Financial Responsibility Rules for Broker-Dealers Under the Securities Exchange Act of 19342013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24609.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24605.htmlNotice - China Ritar Power Corp., Order of Suspension of Trading2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24605.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24604.htmlNotice - Pacific Life Insurance Company, et al; Notice of Application2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24604.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24570.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Credits Applicable to Execution and Routing of Orders in Securities Priced at $1 or More per Share Under Rule 70182013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24570.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24569.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24569Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24569.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24568.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24568Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24568.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24567.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Notification and Reporting Provisions for Exchange of Contract for Related Position Transactions and Block Trades2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24567Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24567.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24559.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Liquidity Income Fund2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24559.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24558.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24558.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24557.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Minor Grammatical Errors, Remove Obsolete References and Comply With a Commission Recommendation2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24557Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24557.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24556.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Its IRS Margin Methodology2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24556.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24555.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 Schedule2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24555.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24554.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 Schedule2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24554.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24553.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 341A To Specify Applicable Continuing Education Requirements, Amending the NYSE Amex Options Fee Schedule To Specify Corresponding CE Fees and To Specify Fees for the Series 56 Examination2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24553.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24552.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 2.23 to Specify Applicable Continuing Education Requirements, Amending the NYSE Arca Options Fee Schedule to Specify Corresponding CE Fees and to Specify Fees for the Series 56 Examination2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24552.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24551.htmlNotice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Registration, Qualification, Supervision, and Continuing Education of Individuals Associated with Participant Firms2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24551.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24550.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal To Enter a New Credit Facility Agreement2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24550.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24549.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals, and the Proposed Deletion of Interpretive Guidance2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24549Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24549.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24548.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to CBSX Appendix A2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24548.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24547.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.19 To Extend Pilot Program Regarding Clearly Erroneous Executions2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24547Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24547.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24546.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to NDX and RUT Combination Orders2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24546Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24546.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24545.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Fee Pilot Program for NASDAQ Last Sale2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24545Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24545.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24544.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24544Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24544.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24543.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA Under the Exchange's Authority and Supervision2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24543Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24543.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24542.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving a Proposed Rule Change To Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA Under the Exchange's Authority and Supervision2013-10-22T00:00:00-07:002013-10-22T00:00:00-07:002013-24542Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24542.pdf