<![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/2013/10/22?registers=between Fri, 03 May 2024 15:36:58 -0700 Fri, 03 May 2024 15:36:58 -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/2013/10/22?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24776.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24776.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24776 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24776.pdf Notice - 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, 2013 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24685.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24685.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24685 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24685.pdf Notice - 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, 2013 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24684.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24684.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24684 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24684.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24683.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24683.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24683 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24683.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuing Education https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24682.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24682.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24682 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24682.pdf Notice - 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 Needs https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24681.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24681.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24681 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24681.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24680.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24680.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24680 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24680.pdf Notice - 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 Needs https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24678.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24678.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24678 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24678.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24677.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24677.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24677 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24677.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24676.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24676.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24676 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24676.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24675.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24675.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24675 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24675.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24674.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24674.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24674 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24674.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24673.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24673.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24673 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24673.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24671.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24671.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24671 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24671.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24670.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24670.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24670 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24670.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24669.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24669.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24669 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24669.pdf Notice - 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 Identifiers https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24668.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24668.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24668 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24668.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24667.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24667.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24667 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24667.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24666.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24666.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24666 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24666.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 8040 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24665.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24665.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24665 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24665.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying Rule 1014 Regarding Daily Quoting Obligations https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24664.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24664.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24664 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24664.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24663.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24663.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24663 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24663.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24662.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24662.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24662 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24662.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24661.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24661.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24661 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24661.pdf Notice - 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 6090 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24660.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24660.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24660 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24660.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24659.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24659.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24659 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24659.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24658.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24658.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24658 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24658.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24657.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24657.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24657 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24657.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24656.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24656.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24656 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24656.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24655.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24655.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24655 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24655.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24654.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24654.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24654 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24654.pdf Notice - 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 Greater https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24653.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24653.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24653 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24653.pdf Notice - 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 Contracts https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24649.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24649.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24649 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24649.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24648.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24648.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24648 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24648.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24647.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24647.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24647 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24647.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24646.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24646.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24646 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24646.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24645.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24645.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24645 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24645.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24644.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24644.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24644 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24644.pdf Notice - 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 VII https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24643.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24643.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24643 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24643.pdf Notice - 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 Modifiers https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24642.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24642.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24642 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24642.pdf Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to PIM and Penny Pilot Periods https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24641.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24641.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24641 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24641.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24640.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24640.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24640 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24640.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24639.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24639.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24639 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24639.pdf Notice - 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 Companies https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24637.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24637.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24637 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24637.pdf Notice - 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 Applicants https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24636.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24636.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24636 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24636.pdf Notice - 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 Organizations https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24635.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24635.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24635 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24635.pdf Notice - 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 Organizations https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24634.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24634.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24634 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24634.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24633.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24633.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24633 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24633.pdf Notice - 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 Privileges https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24632.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24632.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24632.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24631.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24631.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24631.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rule 6.42 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24630.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24630.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24630 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24630.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24629.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24629.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24629.pdf Notice - Pacific Clean Water Technologies, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24610.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24610.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24610 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24610.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24609.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24609.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24609 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24609.pdf Notice - China Ritar Power Corp., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24605.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24605.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24605 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24605.pdf Notice - Pacific Life Insurance Company, et al; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24604.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24604.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24604 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24604.pdf Notice - 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 7018 https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24570.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24570.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24570 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24570.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24569.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24569.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24569 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24569.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24568.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24568.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24568 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24568.pdf Notice - 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 Trades https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24567.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24567.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24567 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24567.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Liquidity Income Fund https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24559.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24559.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24559 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24559.pdf Notice - 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 Document https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24558.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24558.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24558 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24558.pdf Notice - 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 Recommendation https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24557.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24557.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24557 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24557.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Its IRS Margin Methodology https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24556.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24556.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24556 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24556.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24555.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24555.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24555 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24555.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24554.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24554.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24554 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24554.pdf Notice - 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 Examination https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24553.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24553.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24553 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24553.pdf Notice - 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 Examination https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24552.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24552.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24552 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24552.pdf Notice - 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 Firms https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24551.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24551.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24551 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24551.pdf Notice - 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 Agreement https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24550.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24550.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24550 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24550.pdf Notice - 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 Guidance https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24549.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24549.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24549 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24549.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to CBSX Appendix A https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24548.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24548.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24548 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24548.pdf Notice - 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 Executions https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24547.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24547.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24547 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24547.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24546.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24546.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24546 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24546.pdf Notice - 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 Sale https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24545.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24545.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24545 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24545.pdf Notice - Self-Regulatory Organizations; C2 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/2013/10/22/2013-24544.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24544.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24544 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24544.pdf Notice - 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 Supervision https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24543.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24543.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24543 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24543.pdf Notice - 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 Supervision https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24542.html https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24542.html Tue, 22 Oct 2013 00:00:00 -0700 2013-24542 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24542.pdf