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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2022-06-30T04:05:01-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25831.html Notice - Ameritas Life Insurance Corp., et al; Notice of Application 2013-10-31T00:00:00-07:00 2013-10-31T00:00:00-07:00 2013-25831 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25831.pdf https://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25830.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Schedule of Fees 2013-10-31T00:00:00-07:00 2013-10-31T00:00:00-07:00 2013-25830 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25830.pdf https://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25829.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Order Disapproving Proposed Rule Change To Adopt a Directed Order Process 2013-10-31T00:00:00-07:00 2013-10-31T00:00:00-07:00 2013-25829 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25829.pdf https://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25828.html Notice - 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 Options 2013-10-31T00:00:00-07:00 2013-10-31T00:00:00-07:00 2013-25828 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25828.pdf https://regulations.justia.com/regulations/fedreg/2013/10/31/2013-25827.html Notice - 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 8.600 2013-10-31T00:00:00-07:00 2013-10-31T00:00:00-07:00 2013-25827 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-31/pdf/2013-25827.pdf https://regulations.justia.com/regulations/fedreg/2013/10/30/2013-25648.html Notice - VTL Associates, LLC, et al.; Notice of Application 2013-10-30T00:00:00-07:00 2013-10-30T00:00:00-07:00 2013-25648 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-30/pdf/2013-25648.pdf https://regulations.justia.com/regulations/fedreg/2013/10/30/2013-25646.html Notice - 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 Committee 2013-10-30T00:00:00-07:00 2013-10-30T00:00:00-07:00 2013-25646 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-30/pdf/2013-25646.pdf https://regulations.justia.com/regulations/fedreg/2013/10/30/2013-25645.html Notice - 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 Pilot 2013-10-30T00:00:00-07:00 2013-10-30T00:00:00-07:00 2013-25645 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-30/pdf/2013-25645.pdf https://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25647.html Notice - Sunshine Act Meeting 2013-10-29T00:00:00-07:00 2013-10-29T00:00:00-07:00 2013-25647 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25647.pdf https://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25571.html Notice - 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 Usage 2013-10-29T00:00:00-07:00 2013-10-29T00:00:00-07:00 2013-25571 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25571.pdf https://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25447.html Notice - Submission for OMB Review; Comment Request 2013-10-29T00:00:00-07:00 2013-10-29T00:00:00-07:00 2013-25447 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25447.pdf https://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25446.html Notice - 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 Contracts 2013-10-29T00:00:00-07:00 2013-10-29T00:00:00-07:00 2013-25446 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25446.pdf https://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25445.html Notice - 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 Contracts 2013-10-29T00:00:00-07:00 2013-10-29T00:00:00-07:00 2013-25445 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25445.pdf https://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25444.html Notice - 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 Contracts 2013-10-29T00:00:00-07:00 2013-10-29T00:00:00-07:00 2013-25444 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25444.pdf https://regulations.justia.com/regulations/fedreg/2013/10/29/2013-25443.html Notice - 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 Program 2013-10-29T00:00:00-07:00 2013-10-29T00:00:00-07:00 2013-25443 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-29/pdf/2013-25443.pdf https://regulations.justia.com/regulations/fedreg/2013/10/28/2013-25293.html Notice - 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 Information 2013-10-28T00:00:00-07:00 2013-10-28T00:00:00-07:00 2013-25293 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-28/pdf/2013-25293.pdf https://regulations.justia.com/regulations/fedreg/2013/10/28/2013-25292.html Notice - 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 ETF 2013-10-28T00:00:00-07:00 2013-10-28T00:00:00-07:00 2013-25292 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-28/pdf/2013-25292.pdf https://regulations.justia.com/regulations/fedreg/2013/10/28/2013-25291.html Notice - 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 Permanent 2013-10-28T00:00:00-07:00 2013-10-28T00:00:00-07:00 2013-25291 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-28/pdf/2013-25291.pdf https://regulations.justia.com/regulations/fedreg/2013/10/25/2013-25142.html Notice - Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies and Request for Comment 2013-10-25T00:00:00-07:00 2013-10-25T00:00:00-07:00 2013-25142 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-25142.pdf https://regulations.justia.com/regulations/fedreg/2013/10/25/2013-25120.html Notice - 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 Manual 2013-10-25T00:00:00-07:00 2013-10-25T00:00:00-07:00 2013-25120 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-25120.pdf https://regulations.justia.com/regulations/fedreg/2013/10/25/2013-25119.html Notice - 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 FINRA 2013-10-25T00:00:00-07:00 2013-10-25T00:00:00-07:00 2013-25119 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-25119.pdf https://regulations.justia.com/regulations/fedreg/2013/10/25/2013-25118.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Adoption of CME Rule 1001 2013-10-25T00:00:00-07:00 2013-10-25T00:00:00-07:00 2013-25118 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-25118.pdf https://regulations.justia.com/regulations/fedreg/2013/10/25/2013-24915.html Notice - 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 4513 2013-10-25T00:00:00-07:00 2013-10-25T00:00:00-07:00 2013-24915 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-24915.pdf https://regulations.justia.com/regulations/fedreg/2013/10/25/2013-24913.html Notice - 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 4513 2013-10-25T00:00:00-07:00 2013-10-25T00:00:00-07:00 2013-24913 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-25/pdf/2013-24913.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-25144.html Notice - Order of Suspension of Trading; In The Matter of Crown Alliance Capital Limited 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-25144 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-25144.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-25143.html Notice - Order Of Suspension of Trading; In the Matter of ARX Gold Corp. 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-25143 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-25143.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-25121.html Notice - Sunshine Act Meeting 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-25121 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-25121.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24920.html Notice - 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 Platform 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-24920 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24920.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24919.html Notice - Syntax Analytics, LLC and Syntax ETF Trust; Notice of Application 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-24919 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24919.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24918.html Notice - 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 Options 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-24918 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24918.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24917.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.87 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-24917 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24917.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24916.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-24916 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24916.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24914.html Notice - 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 Rules 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-24914 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24914.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24850.html Notice - 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 Series 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-24850 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24850.pdf https://regulations.justia.com/regulations/fedreg/2013/10/24/2013-24849.html Notice - Proposed Collection; Comment Request 2013-10-24T00:00:00-07:00 2013-10-24T00:00:00-07:00 2013-24849 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-24/pdf/2013-24849.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24843.html Notice - 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 Options 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24843 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24843.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24775.html Notice - Submission for OMB Review; Comment Request 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24775 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24775.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24774.html Notice - Submission for OMB Review; Comment Request 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24774 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24774.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24773.html Notice - Submission for OMB Review; Comment Request 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24773 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24773.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24772.html Notice - Submission for OMB Review; Comment Request 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24772 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24772.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24771.html Notice - Davidson Kempner Capital Management LLC; Notice of Application 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24771 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24771.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24770.html Notice - Arden Investment Series Trust, et al.; Notice of Application 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24770 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24770.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24769.html Notice - 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 Service 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24769 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24769.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24768.html Notice - 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” 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24768 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24768.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24767.html Notice - 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 Credits 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24767 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24767.pdf https://regulations.justia.com/regulations/fedreg/2013/10/23/2013-24766.html Notice - 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 Member 2013-10-23T00:00:00-07:00 2013-10-23T00:00:00-07:00 2013-24766 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-23/pdf/2013-24766.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24776.html Notice - Sunshine Act Meeting 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24776 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24776.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24685.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24685 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24685.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24684.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24684 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24684.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24683.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24683 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24683.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24682.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Continuing Education 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24682 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24682.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24681.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24681 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24681.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24680.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24680 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24680.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24678.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24678 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24678.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24677.html 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. 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24677 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24677.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24676.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24676 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24676.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24675.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24675 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24675.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24674.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24674 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24674.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24673.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24673 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24673.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24671.html Notice - Submission for OMB Review; Comment Request 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24671 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24671.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24670.html Notice - Submission for OMB Review; Comment Request 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24670 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24670.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24669.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24669 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24669.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24668.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24668 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24668.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24667.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24667 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24667.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24666.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24666 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24666.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24665.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 8040 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24665 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24665.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24664.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24664 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24664.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24663.html 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) 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24663 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24663.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24662.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24662 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24662.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24661.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24661 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24661.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24660.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24660 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24660.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24659.html 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. 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24659 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24659.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24658.html 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. 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24658 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24658.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24657.html 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. 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24657 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24657.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24656.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24656 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24656.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24655.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24655 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24655.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24654.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24654 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24654.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24653.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24653 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24653.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24649.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24649 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24649.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24648.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24648 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24648.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24647.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24647 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24647.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24646.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24646 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24646.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24645.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24645 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24645.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24644.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24644 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24644.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24643.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24643 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24643.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24642.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24642 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24642.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24641.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to PIM and Penny Pilot Periods 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24641 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24641.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24640.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24640 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24640.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24639.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24639 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24639.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24637.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24637 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24637.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24636.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24636 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24636.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24635.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24635 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24635.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24634.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24634 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24634.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24633.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24633 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24633.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24632.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24632.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24631.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24631.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24630.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rule 6.42 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24630 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24630.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24629.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24629.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24610.html Notice - Pacific Clean Water Technologies, Inc.; Order of Suspension of Trading 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24610 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24610.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24609.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24609 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24609.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24605.html Notice - China Ritar Power Corp., Order of Suspension of Trading 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24605 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24605.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24604.html Notice - Pacific Life Insurance Company, et al; Notice of Application 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24604 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24604.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24570.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24570 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24570.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24569.html 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) 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24569 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24569.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24568.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24568 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24568.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24567.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24567 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24567.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24559.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24559 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24559.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24558.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24558 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24558.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24557.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24557 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24557.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24556.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Its IRS Margin Methodology 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24556 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24556.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24555.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24555 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24555.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24554.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24554 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24554.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24553.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24553 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24553.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24552.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24552 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24552.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24551.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24551 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24551.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24550.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24550 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24550.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24549.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24549 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24549.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24548.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24548 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24548.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24547.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24547 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24547.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24546.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24546 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24546.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24545.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24545 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24545.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24544.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24544 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24544.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24543.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24543 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24543.pdf https://regulations.justia.com/regulations/fedreg/2013/10/22/2013-24542.html 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 2013-10-22T00:00:00-07:00 2013-10-22T00:00:00-07:00 2013-24542 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-22/pdf/2013-24542.pdf https://regulations.justia.com/regulations/fedreg/2013/10/21/2013-24584.html Notice - Sunshine Act Meeting 2013-10-21T00:00:00-07:00 2013-10-21T00:00:00-07:00 2013-24584 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-21/pdf/2013-24584.pdf https://regulations.justia.com/regulations/fedreg/2013/10/21/2013-24583.html Notice - Sunshine Act Meeting 2013-10-21T00:00:00-07:00 2013-10-21T00:00:00-07:00 2013-24583 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-21/pdf/2013-24583.pdf https://regulations.justia.com/regulations/fedreg/2013/10/21/2013-24582.html Notice - Sunshine Act Meeting 2013-10-21T00:00:00-07:00 2013-10-21T00:00:00-07:00 2013-24582 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-21/pdf/2013-24582.pdf https://regulations.justia.com/regulations/fedreg/2013/10/21/2013-24581.html Notice - Sunshine Act Meeting 2013-10-21T00:00:00-07:00 2013-10-21T00:00:00-07:00 2013-24581 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-21/pdf/2013-24581.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24263.html Notice - 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 Portfolio 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24263 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24263.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24249.html Notice - 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 Orders 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24249 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24249.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24243.html Notice - 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 Products 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24243 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24243.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24242.html Notice - 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 Methodology 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24242 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24242.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24241.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF Port Fees 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24241 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24241.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24240.html Notice - 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 Services 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24240 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24240.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24239.html Notice - Stellus Capital Investment Corporation, et al.; Notice of Application 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24239 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24239.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24222.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24222 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24222.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24165.html Notice - 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 Options 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24165 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24165.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24164.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Data Revenue Rebates Program 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24164 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24164.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24163.html Notice - 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 Member 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24163 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24163.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24162.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Decommission Its Trade Risk Pro Service 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24162 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24162.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24161.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24161 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24161.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24160.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24160 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24160.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24159.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24159 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24159.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24158.html Notice - 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 Appointments 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24158 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24158.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24157.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Certain Options Symbols 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24157 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24157.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24156.html Notice - 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 Deficiencies 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24156 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24156.pdf https://regulations.justia.com/regulations/fedreg/2013/10/03/2013-24048.html Proposed Rule - Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period 2013-10-03T00:00:00-07:00 2013-10-03T00:00:00-07:00 2013-24048 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-10-03/pdf/2013-24048.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24202.html Notice - In the Matter of China Ruitai International Holdings Co., Ltd.; Order of Suspension of Trading 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24202 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24202.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24024.html Notice - Guinness Atkinson Asset Management, Inc., et al.; Notice of Application 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24024 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24024.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24021.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend MSRB Rules G-8, G-11, and G-32 To Include Provisions Specifically Tailored for Retail Order Periods 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24021 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24021.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24020.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24020 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24020.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24019.html Notice - Joint Industry Plan; Order Approving the Fifth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24019 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24019.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24018.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24018 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24018.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24017.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(1)(i)(H) To Change The Required Advance Notice Period For Submitting Certain Notices to the Exchange 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24017 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24017.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24016.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24016 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24016.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24015.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposal To Amend Rule 24.7 To Add Factors for Determining Whether To Halt Volatility Index Options Trading 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24015 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24015.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24014.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Fee Schedule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24014 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24014.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24013.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24013 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24013.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24012.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to Securities Exchange Act Rule 19d-1(c)(2)) 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24012 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24012.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24011.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Regarding Calculation of the Mid-Point Passive Liquidity Order Tier 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24011 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24011.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24010.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128 and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4) 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24010 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24010.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24009.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 7.10 and Removing References to Individual Security Trading Pauses Contained in Rule 7.10(c)(4) 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24009 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24009.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24008.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Program for Certain Clearly Erroneous Executions Under Rule 128-Equities and Removing References to Individual Security Trading Pauses Contained in Rule 128(c)(4)-Equities 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24008 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24008.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24007.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24007 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24007.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24006.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program Related to Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24006 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24006.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24005.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24005 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24005.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24004.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24004 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24004.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24003.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13, Clearly Erroneous Executions 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24003 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24003.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24002.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.13, Clearly Erroneous Executions 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24002 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24002.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24001.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24001 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24001.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-24000.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CBSX Clearly Erroneous Policy Pilot Program 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-24000 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-24000.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23999.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Message Types, Connectivity and Bandwidth Allowance 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-23999 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-23999.pdf https://regulations.justia.com/regulations/fedreg/2013/10/02/2013-23914.html Rule - Adoption of Updated EDGAR Filer Manual 2013-10-02T00:00:00-07:00 2013-10-02T00:00:00-07:00 2013-23914 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-23914.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23903.html Notice - 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 Obligations 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23903 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23903.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23902.html Notice - 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 Tier 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23902 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23902.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23901.html Notice - 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 Fees 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23901 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23901.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23872.html Notice - Proposed Collection; Comment Request 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23872 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23872.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23832.html Notice - U.S. Global Investors, Inc., et al.; Notice of Application 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23832 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23832.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23831.html Notice - Forethought Variable Insurance Trust, et al.; Notice of Application 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23831 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23831.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23830.html Notice - 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 Practices 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23830 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23830.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23829.html Notice - 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 Needs 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23829 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23829.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23828.html Notice - 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 Fee 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23828 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23828.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23827.html Notice - 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 Fee 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23827 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23827.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23826.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23826 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23826.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23825.html Notice - 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 Names 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23825 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23825.pdf https://regulations.justia.com/regulations/fedreg/2013/10/01/2013-23073.html Proposed Rule - Pay Ratio Disclosure 2013-10-01T00:00:00-07:00 2013-10-01T00:00:00-07:00 2013-23073 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-10-01/pdf/2013-23073.pdf