Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-26T14:59:01-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25831.htmlNotice - Ameritas Life Insurance Corp., et al; Notice of Application2013-10-31T00:00:00-07:002013-10-31T00:00:00-07:002013-25831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25831.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25830.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Schedule of Fees2013-10-31T00:00:00-07:002013-10-31T00:00:00-07:002013-25830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25830.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25829.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Order Disapproving Proposed Rule Change To Adopt a Directed Order Process2013-10-31T00:00:00-07:002013-10-31T00:00:00-07:002013-25829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25829.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25828.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Amend CBOE Rule 6.2B To Establish Modified Hybrid Opening System Opening Procedures for All Volatility Index Constituent Options2013-10-31T00:00:00-07:002013-10-31T00:00:00-07:002013-25828Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25828.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25827.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the SPDR MFS Systematic Core Equity ETF, SPDR MFS Systematic Growth Equity ETF, and SPDR MFS Systematic Value Equity ETF Under NYSE Arca Equities Rule 8.6002013-10-31T00:00:00-07:002013-10-31T00:00:00-07:002013-25827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25827.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/30/2013-25648.htmlNotice - VTL Associates, LLC, et al.; Notice of Application2013-10-30T00:00:00-07:002013-10-30T00:00:00-07:002013-25648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-30/pdf/2013-25648.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/30/2013-25646.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Charters for the Board of Directors, the Membership/Risk Committee, the Audit Committee and the Performance Committee2013-10-30T00:00:00-07:002013-10-30T00:00:00-07:002013-25646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-30/pdf/2013-25646.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/30/2013-25645.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Extending the FLEX Exercise Settlement Values Pilot2013-10-30T00:00:00-07:002013-10-30T00:00:00-07:002013-25645Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-30/pdf/2013-25645.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25647.htmlNotice - Sunshine Act Meeting2013-10-29T00:00:00-07:002013-10-29T00:00:00-07:002013-25647Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25647.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25571.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish for PHLX Orders Managed Data Solution Fees for Non-Display Usage2013-10-29T00:00:00-07:002013-10-29T00:00:00-07:002013-25571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25571.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25447.htmlNotice - Submission for OMB Review; Comment Request2013-10-29T00:00:00-07:002013-10-29T00:00:00-07:002013-25447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25447.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25446.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Transition to Friday Expiration for Most Options Contracts2013-10-29T00:00:00-07:002013-10-29T00:00:00-07:002013-25446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25446.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25445.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Transition to Friday Expiration for Most Options Contracts2013-10-29T00:00:00-07:002013-10-29T00:00:00-07:002013-25445Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25445.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25444.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts2013-10-29T00:00:00-07:002013-10-29T00:00:00-07:002013-25444Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25444.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25443.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 6 Examination Program2013-10-29T00:00:00-07:002013-10-29T00:00:00-07:002013-25443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25443.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/28/2013-25293.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Include the Series 56 Examination Fee Information2013-10-28T00:00:00-07:002013-10-28T00:00:00-07:002013-25293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-28/pdf/2013-25293.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/28/2013-25292.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 904 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF2013-10-28T00:00:00-07:002013-10-28T00:00:00-07:002013-25292Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-28/pdf/2013-25292.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/28/2013-25291.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 6.72 To Make the Penny Pilot Program for Options Permanent2013-10-28T00:00:00-07:002013-10-28T00:00:00-07:002013-25291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-28/pdf/2013-25291.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/25/2013-25142.htmlNotice - Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies and Request for Comment2013-10-25T00:00:00-07:002013-10-25T00:00:00-07:002013-25142Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-25142.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/25/2013-25120.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Proposing to Amend the Quantitative Continued Listing Standards Applicable to Companies Listed Under Sections 102.01C and 103.01B of the Listed Company Manual2013-10-25T00:00:00-07:002013-10-25T00:00:00-07:002013-25120Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-25120.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/25/2013-25119.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rules 4020 (Opening of Accounts), 4050 (Discretionary Accounts), and 4060 (Confirmation to Public Customers) To Conform to the Corresponding Rules of FINRA2013-10-25T00:00:00-07:002013-10-25T00:00:00-07:002013-25119Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-25119.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/25/2013-25118.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Adoption of CME Rule 10012013-10-25T00:00:00-07:002013-10-25T00:00:00-07:002013-25118Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-25118.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/25/2013-24915.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 4.3, Record of Written Complaints, To Conform to Financial Industry Regulatory Authority, Inc. Rule 45132013-10-25T00:00:00-07:002013-10-25T00:00:00-07:002013-24915Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-24915.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/25/2013-24913.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 4.3, Record of Written Complaints, To Conform to Financial Industry Regulatory Authority, Inc. Rule 45132013-10-25T00:00:00-07:002013-10-25T00:00:00-07:002013-24913Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-24913.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-25144.htmlNotice - Order of Suspension of Trading; In The Matter of Crown Alliance Capital Limited2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-25144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-25144.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-25143.htmlNotice - Order Of Suspension of Trading; In the Matter of ARX Gold Corp.2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-25143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-25143.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-25121.htmlNotice - Sunshine Act Meeting2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-25121Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-25121.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24920.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed Rule Change Amending NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual, Which Provide a Schedule for the Reimbursement of Expenses by Issuers to NYSE Member Organizations for the Processing of Proxy Materials and Other Issuer Communications Provided to Investors Holding Securities in Street Name, and To Establish a Five-Year Fee for the Development of an Enhanced Brokers Internet Platform2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-24920Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24920.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24919.htmlNotice - Syntax Analytics, LLC and Syntax ETF Trust; Notice of Application2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-24919Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24919.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24918.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending OCC's By-Laws and Rules To Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-24918Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24918.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24917.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.872013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-24917Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24917.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24916.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-24916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24916.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24914.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes, as Modified by Amendment Nos. 1, Amending NYSE Rule 104 and NYSE MKT Rule 104-Equities to Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchanges' Rules Governing the Ability of DMMs To Provide Market Information To Floor Brokers, and To Make Conforming Amendments to Other Rules2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-24914Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24914.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24850.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Replace Certain References to “Member” With References to “Member Organization” in the Rule 9000 Series2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-24850Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24850.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24849.htmlNotice - Proposed Collection; Comment Request2013-10-24T00:00:00-07:002013-10-24T00:00:00-07:002013-24849Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24849.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24843.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing To Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24843Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24843.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24775.htmlNotice - Submission for OMB Review; Comment Request2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24775.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24774.htmlNotice - Submission for OMB Review; Comment Request2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24774Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24774.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24773.htmlNotice - Submission for OMB Review; Comment Request2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24773Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24773.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24772.htmlNotice - Submission for OMB Review; Comment Request2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24772Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24772.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24771.htmlNotice - Davidson Kempner Capital Management LLC; Notice of Application2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24771Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24771.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24770.htmlNotice - Arden Investment Series Trust, et al.; Notice of Application2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24770Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24770.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24769.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to The Customized Option Pricing Service2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24769.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24768.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Amend Policy Statement Adopted Under Rule 205 Entitled “Back-Up Communication Channel to Internet Access”2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24768.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24767.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Market Maker and Lead Market Maker Transaction Credits2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24767.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24766.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow FINRA Members To Use the FINRA/NYSE Trade Reporting Facility To Transfer Transaction Fees Charged by One Member to Another Member2013-10-23T00:00:00-07:002013-10-23T00:00:00-07:002013-24766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24766.pdfhttps://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.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/21/2013-24584.htmlNotice - Sunshine Act Meeting2013-10-21T00:00:00-07:002013-10-21T00:00:00-07:002013-24584Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-21/pdf/2013-24584.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/21/2013-24583.htmlNotice - Sunshine Act Meeting2013-10-21T00:00:00-07:002013-10-21T00:00:00-07:002013-24583Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-21/pdf/2013-24583.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/21/2013-24582.htmlNotice - Sunshine Act Meeting2013-10-21T00:00:00-07:002013-10-21T00:00:00-07:002013-24582Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-21/pdf/2013-24582.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/21/2013-24581.htmlNotice - Sunshine Act Meeting2013-10-21T00:00:00-07:002013-10-21T00:00:00-07:002013-24581Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-21/pdf/2013-24581.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24263.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes to the Means of Achieving the Investment Objective Applicable to Shares of the PowerShares China A-Share Portfolio2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24263Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24263.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24249.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Amend the Definition of Retail Order in the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the Attestation Requirements for ETP Holders That Submit Retail Orders2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24249Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24249.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24243.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Its Acceptance of a New Series of Credit Default Swap Index Products2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24243.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24242.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24242.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24241.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF Port Fees2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24241.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24240.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Fees Assessed Under NASDAQ Rule 7034 for Certain Co-Location Services2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24240.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24239.htmlNotice - Stellus Capital Investment Corporation, et al.; Notice of Application2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24239Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24239.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24222.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24222.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24165.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Trading Halt Rule of BATS Options2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24165Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24165.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24164.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Data Revenue Rebates Program2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24164Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24164.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24163.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Inadvertent Omission in a Prior Rule Change Filing Related to the Definition of Hedge Clearing Member2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24163Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24163.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24162.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Decommission Its Trade Risk Pro Service2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24162.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24161.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5032013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24161.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24160.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24160Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24160.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24159.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24159Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24159.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24158.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CBSX Rule 53.22 Related to CBSX Remote Market-Maker Appointments2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24158Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24158.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24157.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Certain Options Symbols2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24157Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24157.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24156.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NASDAQ Listing Standards Related to Compliance Determinations for Market Value of Listed Securities and Market Value of Publicly-Held Shares Deficiencies2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24156Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24156.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24048.htmlProposed Rule - Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period2013-10-03T00:00:00-07:002013-10-03T00:00:00-07:002013-24048Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24048.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24202.htmlNotice - In the Matter of China Ruitai International Holdings Co., Ltd.; Order of Suspension of Trading2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24202.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24024.htmlNotice - Guinness Atkinson Asset Management, Inc., et al.; Notice of Application2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24024Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24024.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24021.htmlNotice - 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 Periods2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24021Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24021.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24020.htmlNotice - 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 Securities2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24020Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24020.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24019.htmlNotice - 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.2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24019Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24019.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24018.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24018Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24018.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24017.htmlNotice - 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 Exchange2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24017Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24017.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24016.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24016Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24016.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24015.htmlNotice - 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 Trading2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24015Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24015.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24014.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Fee Schedule2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24014Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24014.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24013.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24013Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24013.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24012.htmlNotice - 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))2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24012Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24012.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24011.htmlNotice - 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 Tier2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24011Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24011.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24010.htmlNotice - 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)2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24010Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24010.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24009.htmlNotice - 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)2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24009Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24009.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24008.htmlNotice - 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)-Equities2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24008Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24008.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24007.htmlNotice - 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 118922013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24007Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24007.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24006.htmlNotice - 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 Transactions2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24006.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24005.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24005.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24004.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24004Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24004.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24003.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13, Clearly Erroneous Executions2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24003.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24002.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.13, Clearly Erroneous Executions2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24002.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24001.htmlNotice - 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 Trades2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24001.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24000.htmlNotice - 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 Program2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-24000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24000.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23999.htmlNotice - 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 Allowance2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-23999Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-23999.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23914.htmlRule - Adoption of Updated EDGAR Filer Manual2013-10-02T00:00:00-07:002013-10-02T00:00:00-07:002013-23914Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-23914.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23903.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Exchange Rule 604 in Connection With Market Maker Continuous Quoting Obligations2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23903Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23903.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23902.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Include an Additional Market Maker Monthly Posting Credit Tier2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23902Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23902.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23901.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Add an Additional Tier to the Lead Market Maker Rights Fees2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23901.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23872.htmlNotice - Proposed Collection; Comment Request2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23872.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23832.htmlNotice - U.S. Global Investors, Inc., et al.; Notice of Application2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23832Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23832.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23831.htmlNotice - Forethought Variable Insurance Trust, et al.; Notice of Application2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23831Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23831.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23830.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to the Use of Manual Signatures, Reduction of Segregated Long Positions in Accounts With Aggregated Long Positions, Requirements To Be Physically Present, and Other Technical Changes to OCC's By-Laws and Rules To Better Reflect Current Operational Practices2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23830Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23830.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23829.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Institute Supplemental Liquidity Deposits to Its Clearing Funding Designed To Increase Liquidity Resources To Meet Its Liquidity Needs2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23829Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23829.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23828.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Specify the Frequency With Which the Exchange May Change the Options Regulatory Fee2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23828Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23828.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23827.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule To Specify the Frequency With Which the Exchange May Change the Options Regulatory Fee2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23827Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23827.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23826.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23826Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23826.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23825.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Provide for the Clearance of Standard Emerging European and Middle Eastern Sovereign Single Names2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23825Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23825.pdfhttps://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23073.htmlProposed Rule - Pay Ratio Disclosure2013-10-01T00:00:00-07:002013-10-01T00:00:00-07:002013-23073Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23073.pdf