Securities and Exchange Commission November 13, 2013 – Federal Register Recent Federal Regulation Documents

Results 1 - 10 of 10
In the Matter of Far Vista Petroleum Corp.; Order of Suspension of Trading
Document Number: 2013-27238
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27238.html
Order Exempting Broker-Dealers Participating in the Proposed Global Offering of Meridian Energy Limited From the Arranging Prohibitions of Section 11(d)(1) of the Exchange Act
Document Number: 2013-27100
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27100.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Establish a Retail Liquidity Program
Document Number: 2013-27053
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27053.html
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Approval to Proposed Rule Changes, as Modified by Amendment No. 1, That Address the Exchanges' Emergency Powers
Document Number: 2013-27052
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27052.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rules 1064 and 1080 To More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
Document Number: 2013-27051
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27051.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options Rebates and Fees
Document Number: 2013-27048
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27048.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Regarding the Applicable Lead Market Maker Rights Fee for Low-Volume Issues
Document Number: 2013-27042
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27042.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Commentary .03 to Rule 6.91 To Limit the Volume of Complex Orders by a Single OTP Holder or OTP Firm During the Trading Day
Document Number: 2013-27041
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27041.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Commentary .03 to Rule 980NY To Limit the Volume of Complex Orders by a Single ATP Holder During the Trading Day
Document Number: 2013-27040
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27040.html
Transamerica Life Insurance Company, et al; Notice of Application
Document Number: 2013-27039
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27039.html