Securities and Exchange Commission November 27, 2013 – Federal Register Recent Federal Regulation Documents

Results 1 - 19 of 19
Life Stem Genetics Inc.; Order of Suspension of Trading
Document Number: 2013-28607
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28607.html
Proxy Advisory Firm Roundtable
Document Number: 2013-28501
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission will host a roundtable about proxy advisory firms. The panel will be asked to discuss topics including the current state of proxy advisory firm use by investment advisers and institutional investors and potential changes that have been suggested by market participants. Panelists will also be invited to discuss any new ideas. The roundtable discussion will be held in the multi-purpose room of the Securities and Exchange Commission headquarters at 100 F Street NE., Washington, DC, on December 5, 2013 from 9:30 a.m. to approximately 1:30 p.m. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-serve basis. The roundtable discussion will also be available via webcast on the Commission's Web site at www.sec.gov.
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28501.html
Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
Document Number: 2013-28464
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28464.html
Proposed Collection; Comment Request
Document Number: 2013-28429
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28429.html
Proposed Collection; Comment Request
Document Number: 2013-28428
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28428.html
Proposed Collection; Comment Request
Document Number: 2013-28427
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28427.html
Proposed Collection; Comment Request
Document Number: 2013-28426
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28426.html
Proposed Collection; Comment Request
Document Number: 2013-28425
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28425.html
Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application
Document Number: 2013-28424
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would permit (a) Series of certain open-end management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices rather than at net asset value (``NAV''); (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. Applicants: Horizons ETFs Management (USA) LLC (``Horizons'') and Horizons ETF Trust (``Trust'').
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28424.html
Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Withdrawal of Proposed Rule Change Amending NYSE Arca Rule 6.72 To Make the Penny Pilot Program for Options Permanent
Document Number: 2013-28423
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28423.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Regarding the Designation of a Primary Backup Data Center
Document Number: 2013-28422
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28422.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Co-Location Services
Document Number: 2013-28421
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28421.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Connectivity Options and Fees
Document Number: 2013-28420
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28420.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to Co-Location Services
Document Number: 2013-28419
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28419.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List Related to Co-Location Services
Document Number: 2013-28418
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28418.html
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 To Specify the Method of Billing When More Than One Pricing Tier Could Be Applicable
Document Number: 2013-28417
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28417.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 4120(c)(7)(C) To Modify the Parameters for Releasing Securities for Trading Upon the Termination of a Trading Halt
Document Number: 2013-28416
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28416.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change to Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Document Number: 2013-28415
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28415.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish an Institutional Liquidity Program on a One-Year Pilot Basis
Document Number: 2013-28414
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28414.html
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