Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/11?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2021-06-20T00:27:43-07:00 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/2013/11/29/2013-28724.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Offer a Customer Rebate 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28724 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28724.pdf https://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28723.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse (“OW”) Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28723 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28723.pdf https://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28576.html Notice - Proposed Collection; Comment Request 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28576 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28576.pdf https://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28575.html Notice - Proposed Collection; Comment Request 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28575 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28575.pdf https://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28574.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Addition of a New Rate Option for Interest Rate Swaps Denominated in Mexican Peso 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28574 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28574.pdf https://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28573.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend CBOE Rule 6.42 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28573 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28573.pdf https://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28572.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28572 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28572.pdf https://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28571.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Market Maker Penny Pilot Options Rebate To Add Liquidity 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28571 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28571.pdf https://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28570.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28570 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28570.pdf https://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28569.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish the Minimum Financial Requirements for the Existing Membership Category of Registered Investment Company Netting Members in the Government Securities Division 2013-11-29T00:00:00-08:00 2013-11-29T00:00:00-08:00 2013-28569 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28569.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28607.html Notice - Life Stem Genetics Inc.; Order of Suspension of Trading 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28607 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28607.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28501.html Notice - Proxy Advisory Firm Roundtable 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28501 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28501.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28464.html Notice - 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 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28464 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28464.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28429.html Notice - Proposed Collection; Comment Request 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28429 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28429.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28428.html Notice - Proposed Collection; Comment Request 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28428 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28428.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28427.html Notice - Proposed Collection; Comment Request 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28427 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28427.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28426.html Notice - Proposed Collection; Comment Request 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28426 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28426.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28425.html Notice - Proposed Collection; Comment Request 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28425 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28425.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28424.html Notice - Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28424 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28424.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28423.html Notice - 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 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28423 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28423.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28422.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Regarding the Designation of a Primary Backup Data Center 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28422 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28422.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28421.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 and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Co-Location Services 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28421 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28421.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28420.html Notice - 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 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28420 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28420.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28419.html Notice - 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 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28419 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28419.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28418.html Notice - 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 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28418 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28418.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28417.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 To Specify the Method of Billing When More Than One Pricing Tier Could Be Applicable 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28417 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28417.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28416.html Notice - 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 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28416 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28416.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28415.html Notice - 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 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28415 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28415.pdf https://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28414.html Notice - 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 2013-11-27T00:00:00-08:00 2013-11-27T00:00:00-08:00 2013-28414 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28414.pdf https://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28447.html Notice - In the Matter of Pure H20 Bio-Technologies, Inc.; Order of Suspension of Trading 2013-11-26T00:00:00-08:00 2013-11-26T00:00:00-08:00 2013-28447 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28447.pdf https://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28274.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the CBSX Fees Schedule 2013-11-26T00:00:00-08:00 2013-11-26T00:00:00-08:00 2013-28274 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28274.pdf https://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28273.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities 2013-11-26T00:00:00-08:00 2013-11-26T00:00:00-08:00 2013-28273 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28273.pdf https://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28272.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund 2013-11-26T00:00:00-08:00 2013-11-26T00:00:00-08:00 2013-28272 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28272.pdf https://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28271.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 Options Fee Schedule 2013-11-26T00:00:00-08:00 2013-11-26T00:00:00-08:00 2013-28271 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28271.pdf https://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28310.html Notice - Sunshine Act Meeting 2013-11-25T00:00:00-08:00 2013-11-25T00:00:00-08:00 2013-28310 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28310.pdf https://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28275.html Notice - Sunshine Act Meeting 2013-11-25T00:00:00-08:00 2013-11-25T00:00:00-08:00 2013-28275 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28275.pdf https://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28219.html Notice - WisdomTree Trust, et al.; Notice of Application 2013-11-25T00:00:00-08:00 2013-11-25T00:00:00-08:00 2013-28219 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28219.pdf https://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28162.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of AdvisorShares Sage Core Reserves ETF Under NYSE Arca Equities Rule 8.600 2013-11-25T00:00:00-08:00 2013-11-25T00:00:00-08:00 2013-28162 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28162.pdf https://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28161.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Corrections to Chicago Mercantile Exchange Inc. Rule 274H.02.A. Regarding Timing of Determination of the Spot Exchange Rate of Chilean Peso per United States Dollar for Use in Settlement of Cleared Spot, Forward and Swap Contracts 2013-11-25T00:00:00-08:00 2013-11-25T00:00:00-08:00 2013-28161 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28161.pdf https://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28160.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Expiration Date for Most Options Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday 2013-11-25T00:00:00-08:00 2013-11-25T00:00:00-08:00 2013-28160 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28160.pdf https://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28159.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Rule 61(a)(iii)-Equities To Harmonize the Existing Rule Text With the Recent Amendment to the CTA Plan, and Concordant Change to the Nasdaq UTP Plan, Which Provides That Odd-Lot Transactions Are To Be Reported On the Consolidated Tape 2013-11-25T00:00:00-08:00 2013-11-25T00:00:00-08:00 2013-28159 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28159.pdf https://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28158.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising Rule 61(a)(iii) To Harmonize the Existing Rule Text With the Recent Amendment to the CTA Plan, Which Provides That Odd-Lot Transactions Are To Be Reported on the Consolidated Tape 2013-11-25T00:00:00-08:00 2013-11-25T00:00:00-08:00 2013-28158 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28158.pdf https://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28157.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Post-Only Orders Received Prior to the Opening 2013-11-25T00:00:00-08:00 2013-11-25T00:00:00-08:00 2013-28157 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28157.pdf https://regulations.justia.com/regulations/fedreg/2013/11/22/2013-28026.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Certain Rule Taxonomy Issues and Postpone Until December 2, 2013 the Operative Date of an Approved Proposed Rule Change 2013-11-22T00:00:00-08:00 2013-11-22T00:00:00-08:00 2013-28026 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-22/pdf/2013-28026.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-28025.html Notice - Order of Suspension of Trading; In the Matter of HouseRaising, Inc., iElement Corporation, InforMedix Holdings, Inc., Nortia Capital Partners, Inc., and PC Universe, Inc. 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-28025 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-28025.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27908.html Notice - ETFis Series Trust I, et al.; Notice of Application 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27908 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27908.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27907.html Notice - AIM Growth Series (Invesco Growth Series), et al.; Notice of Application 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27907 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27907.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27906.html Notice - Joint Industry Plan; BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Miami International Securities Exchange LLC, 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, NYSE Arca, Inc. and Topaz Exchange, LLC; Notice of Filing of Proposed National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27906 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27906.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27905.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 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27905 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27905.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27904.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 53.23 Related to CBSX RMM Quoting Obligations 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27904 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27904.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27903.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services To Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27903 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27903.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27902.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-Location Services To Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27902 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27902.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27901.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Expanding Co-location Services to Provide for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27901 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27901.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27900.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address the Treatment of Certain Stop Orders During a Limit State or Straddle State 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27900 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27900.pdf https://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27899.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address the Treatment of Certain Stop Orders During a Limit State or Straddle State 2013-11-21T00:00:00-08:00 2013-11-21T00:00:00-08:00 2013-27899 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27899.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27763.html Notice - Submission for OMB Review; Comment Request 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27763 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27763.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27762.html Notice - Submission for OMB Review; Comment Request 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27762 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27762.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27761.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.11 Regarding the Entry and Execution of Zero Display Reserve Orders Marked “Sell Short” 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27761 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27761.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27760.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27760 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27760.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27759.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Extension of a Pilot Program for SPY Position and Exercise Limits 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27759 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27759.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27758.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fourteen Month Extension of Pilot Program That Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust (“SPY”) Options 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27758 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27758.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27757.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rules 1302, 1304 and the MIAX Options Fee Schedule 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27757 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27757.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27756.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27756 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27756.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27755.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Eliminate the e-DPM Program 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27755 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27755.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27754.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII With Respect To Execution and Routing of Orders in Securities Priced at $1 or More Per Share 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27754 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27754.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27753.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 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27753 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27753.pdf https://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27752.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 2013-11-20T00:00:00-08:00 2013-11-20T00:00:00-08:00 2013-27752 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27752.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27807.html Notice - In The Matter of: Sovereign Lithium, Inc.; Order of Suspension of Trading 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27807 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27807.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27764.html Notice - Notice of Sunshine Act Meeting 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27764 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27764.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27667.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, As Modified By Amendment No. 1 Thereto, To List and Trade of Shares of the Market Vectors Short High-Yield Municipal Index ETF Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27667 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27667.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27632.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Customer Rebate 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27632 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27632.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27631.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BATS Competitive Liquidity Provider Program 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27631.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27630.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 957NY To Provide That a Pattern or Practice of Late Reporting of Option Transactions to the Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27630 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27630.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27629.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PIXL Auction Notification Requirements Under Rule 1080 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27629.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27628.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 504, Trading Halts 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27628 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27628.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27627.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.69(a) To Provide That a Pattern or Practice of Late Reporting of Option Transactions to the Exchange for Dissemination to the Options Price Reporting Authority Is Subject to Disciplinary Action 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27627 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27627.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27626.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Modifications to Fees and Rebates Under Rules 7014 and 7018 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27626 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27626.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27625.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 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27625 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27625.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27624.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule To Specify the Frequency With Which the Exchange May Change the Options Regulatory Fee 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27624 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27624.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27623.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Its Rules Regarding Option Orders That Are Tied to Stock Orders 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27623 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27623.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27622.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Market Maker Appointment Cost Rebalances 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27622 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27622.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27621.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .08 to Rule 6.4 To Modify the Quarterly Option Series Program To Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each QOS in Exchange-Traded Fund Options 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27621 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27621.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27620.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .09 to Rule 903 To Modify the Quarterly Option Series Program To Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each QOS in Exchange-Traded Fund Options 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27620 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27620.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27619.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. 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27619 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27619.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27618.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. 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27618 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27618.pdf https://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27617.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Under Rule 7030(d) for Use of the Carteret NASDAQ Testing Facility Test Environment 2013-11-19T00:00:00-08:00 2013-11-19T00:00:00-08:00 2013-27617 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27617.pdf https://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27478.html Notice - Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC; Notice of Application 2013-11-18T00:00:00-08:00 2013-11-18T00:00:00-08:00 2013-27478 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27478.pdf https://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27477.html Notice - Altegris Advisors, L.L.C., et al.; Notice of Application 2013-11-18T00:00:00-08:00 2013-11-18T00:00:00-08:00 2013-27477 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27477.pdf https://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27476.html Notice - Ranger Alternative Management, L.P. and Ranger Funds Investment Trust; Notice of Application 2013-11-18T00:00:00-08:00 2013-11-18T00:00:00-08:00 2013-27476 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27476.pdf https://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27475.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Box Spread Strategies 2013-11-18T00:00:00-08:00 2013-11-18T00:00:00-08:00 2013-27475 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27475.pdf https://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27474.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Provide for the Clearance of Standard Emerging European and Middle Eastern Sovereign Single Names 2013-11-18T00:00:00-08:00 2013-11-18T00:00:00-08:00 2013-27474 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27474.pdf https://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27473.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Decommission Its Trade Risk Pro Service 2013-11-18T00:00:00-08:00 2013-11-18T00:00:00-08:00 2013-27473 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27473.pdf https://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27472.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Obvious Error 2013-11-18T00:00:00-08:00 2013-11-18T00:00:00-08:00 2013-27472 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27472.pdf https://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27471.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 Customized Option Pricing Service 2013-11-18T00:00:00-08:00 2013-11-18T00:00:00-08:00 2013-27471 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27471.pdf https://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27470.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Obvious Error 2013-11-18T00:00:00-08:00 2013-11-18T00:00:00-08:00 2013-27470 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27470.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27383.html Notice - Dodd-Frank Investor Advisory Committee; Meeting 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27383 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27383.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27346.html Notice - Proposed Collection; Comment Request 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27346 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27346.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27345.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standard No. 17, Auditing Supplemental Information Accompanying Audited Financial Statements and Related Amendments to PCAOB Standards 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27345 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27345.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27344.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Attestation Standard No. 1, Examination Engagements Regarding Compliance Reports of Brokers and Dealers, Attestation Standard No. 2, Review Engagements Regarding Exemption Reports of Brokers and Dealers, and Related Amendments to PCAOB Standards 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27344 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27344.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27327.html Notice - Proposed Collection; Comment Request 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27327 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27327.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27326.html Notice - Proposed Collection; Comment Request 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27326 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27326.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27325.html Notice - Proposed Collection; Comment Request 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27325 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27325.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27324.html Notice - Proposed Collection; Comment Request 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27324 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27324.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27323.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27323 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27323.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27322.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27322 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27322.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27321.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 3.5 (Advertising Practices) and To Repeal Rule 3.20 (Initial or Partial Payments) To Conform With the Rules of the Financial Industry Regulatory Authority, Inc. 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27321 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27321.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27320.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 3.5 (Advertising Practices) and To Repeal Rule 3.20 (Initial or Partial Payments) To Conform with the Rules of the Financial Industry Regulatory Authority, Inc. 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27320 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27320.pdf https://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27289.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Amendment to the Amended and Restated Clearing and Services Agreement Between The Options Clearing Corporation and NYSE Liffe US LLC in Connection With NYSE Liffe US LLC's Transition to Electronic Vault Receipts 2013-11-15T00:00:00-08:00 2013-11-15T00:00:00-08:00 2013-27289 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27289.pdf https://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27240.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Certain Rules That Address Wash Sales in Order To Harmonize the Exchange's Rules With the Rules of New York Stock Exchange LLC and the Financial Industry Regulatory Authority 2013-11-14T00:00:00-08:00 2013-11-14T00:00:00-08:00 2013-27240 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27240.pdf https://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27207.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Trading Days and Hours of Business and Trading Halts 2013-11-14T00:00:00-08:00 2013-11-14T00:00:00-08:00 2013-27207 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27207.pdf https://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27206.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Make the U.S. Department of the Treasury's Floating Rate Notes Eligible for Netting Service and GCF Repo® at FICC's Government Securities Division 2013-11-14T00:00:00-08:00 2013-11-14T00:00:00-08:00 2013-27206 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27206.pdf https://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27205.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Exchange Trading Days and Hours of Business and Trading Halts 2013-11-14T00:00:00-08:00 2013-11-14T00:00:00-08:00 2013-27205 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27205.pdf https://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27204.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the First Trust High Income Fund of First Trust Exchange-Traded Fund VI 2013-11-14T00:00:00-08:00 2013-11-14T00:00:00-08:00 2013-27204 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27204.pdf https://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27203.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the First Trust Low Beta Income Fund of First Trust Exchange-Traded Fund VI 2013-11-14T00:00:00-08:00 2013-11-14T00:00:00-08:00 2013-27203 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27203.pdf https://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27202.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBSX Fees Schedule 2013-11-14T00:00:00-08:00 2013-11-14T00:00:00-08:00 2013-27202 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27202.pdf https://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27201.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Add Rules Related to the Clearing of MCDX Index CDS Contracts and Make Conforming Changes to Existing Rules 2013-11-14T00:00:00-08:00 2013-11-14T00:00:00-08:00 2013-27201 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27201.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27238.html Notice - In the Matter of Far Vista Petroleum Corp.; Order of Suspension of Trading 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27238 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27238.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27100.html Notice - 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 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27100 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27100.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27053.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Establish a Retail Liquidity Program 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27053 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27053.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27052.html Notice - 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 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27052 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27052.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27051.html Notice - 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 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27051 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27051.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27048.html Notice - 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 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27048 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27048.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27042.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 Regarding the Applicable Lead Market Maker Rights Fee for Low-Volume Issues 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27042 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27042.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27041.html Notice - 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 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27041 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27041.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27040.html Notice - 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 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27040 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27040.pdf https://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27039.html Notice - Transamerica Life Insurance Company, et al; Notice of Application 2013-11-13T00:00:00-08:00 2013-11-13T00:00:00-08:00 2013-27039 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27039.pdf https://regulations.justia.com/regulations/fedreg/2013/11/12/2013-27182.html Notice - Notice of Sunshine Act Meeting 2013-11-12T00:00:00-08:00 2013-11-12T00:00:00-08:00 2013-27182 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-27182.pdf https://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26957.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 2013-11-12T00:00:00-08:00 2013-11-12T00:00:00-08:00 2013-26957 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26957.pdf https://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26956.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 2013-11-12T00:00:00-08:00 2013-11-12T00:00:00-08:00 2013-26956 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26956.pdf https://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26955.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 2013-11-12T00:00:00-08:00 2013-11-12T00:00:00-08:00 2013-26955 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26955.pdf https://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26935.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend the Rule Governing the Listing and Trading of Shares of the WisdomTree Global Real Return Fund 2013-11-12T00:00:00-08:00 2013-11-12T00:00:00-08:00 2013-26935 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26935.pdf https://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26934.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to CBSX Trading Permit Holder Eligibility 2013-11-12T00:00:00-08:00 2013-11-12T00:00:00-08:00 2013-26934 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26934.pdf https://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26933.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 on BOX 2013-11-12T00:00:00-08:00 2013-11-12T00:00:00-08:00 2013-26933 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26933.pdf https://regulations.justia.com/regulations/fedreg/2013/11/12/2013-23524.html Rule - Registration of Municipal Advisors 2013-11-12T00:00:00-08:00 2013-11-12T00:00:00-08:00 2013-23524 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-23524.pdf https://regulations.justia.com/regulations/fedreg/2013/11/08/2013-26756.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Withdrawal of Proposed Rule Change Relating to NDX and RUT Combination Orders November 4, 2013. 2013-11-08T00:00:00-08:00 2013-11-08T00:00:00-08:00 2013-26756 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-08/pdf/2013-26756.pdf https://regulations.justia.com/regulations/fedreg/2013/11/08/2013-26755.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Reference Rate for Singapore Dollar Denominated Interest Rate Swaps 2013-11-08T00:00:00-08:00 2013-11-08T00:00:00-08:00 2013-26755 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-08/pdf/2013-26755.pdf https://regulations.justia.com/regulations/fedreg/2013/11/07/2013-26664.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Regarding Elimination of the Cancellation Fee From the NYSE Amex Options Fee Schedule 2013-11-07T00:00:00-08:00 2013-11-07T00:00:00-08:00 2013-26664 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-07/pdf/2013-26664.pdf https://regulations.justia.com/regulations/fedreg/2013/11/07/2013-26663.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Manna Core Equity Enhanced Dividend Income Fund Under NYSEArca Equities Rule 8.600 2013-11-07T00:00:00-08:00 2013-11-07T00:00:00-08:00 2013-26663 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-07/pdf/2013-26663.pdf https://regulations.justia.com/regulations/fedreg/2013/11/07/2013-26662.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Permit Complex Orders To Participate in Price Improvement Periods 2013-11-07T00:00:00-08:00 2013-11-07T00:00:00-08:00 2013-26662 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-07/pdf/2013-26662.pdf https://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26558.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 Apply Routing Fees to Penny Pilot Issues 2013-11-06T00:00:00-08:00 2013-11-06T00:00:00-08:00 2013-26558 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26558.pdf https://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26557.html Notice - Consolidated Tape Association; Order Approving the Eighteenth Substantive Amendment to the Second Restatement of the CTA Plan 2013-11-06T00:00:00-08:00 2013-11-06T00:00:00-08:00 2013-26557 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26557.pdf https://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26556.html Notice - Joint Industry Plan; Order Approving Amendment No. 30 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the 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., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2013-11-06T00:00:00-08:00 2013-11-06T00:00:00-08:00 2013-26556 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26556.pdf https://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26555.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders 2013-11-06T00:00:00-08:00 2013-11-06T00:00:00-08:00 2013-26555 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26555.pdf https://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26554.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Notification Provisions for Exchange of Contract for Related Position Transactions and Block Trades 2013-11-06T00:00:00-08:00 2013-11-06T00:00:00-08:00 2013-26554 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26554.pdf https://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26553.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 2013-11-06T00:00:00-08:00 2013-11-06T00:00:00-08:00 2013-26553 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26553.pdf https://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26552.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List Options on the Nations VolDex Index 2013-11-06T00:00:00-08:00 2013-11-06T00:00:00-08:00 2013-26552 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26552.pdf https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26559.html Notice - Sunshine Act Meeting 2013-11-05T00:00:00-08:00 2013-11-05T00:00:00-08:00 2013-26559 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26559.pdf https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26412.html Notice - OFS Capital Corporation, et al.; Notice of Application 2013-11-05T00:00:00-08:00 2013-11-05T00:00:00-08:00 2013-26412 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26412.pdf https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26411.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to Participation on the Alternative Display Facility 2013-11-05T00:00:00-08:00 2013-11-05T00:00:00-08:00 2013-26411 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26411.pdf https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26410.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of PIMCO Diversified Income Exchange-Traded Fund, PIMCO Low Duration Exchange-Traded Fund and PIMCO Real Return Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 2013-11-05T00:00:00-08:00 2013-11-05T00:00:00-08:00 2013-26410 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26410.pdf https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26409.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Franklin Short Duration U.S. Government ETF Under NYSE Arca Equities Rule 8.600 2013-11-05T00:00:00-08:00 2013-11-05T00:00:00-08:00 2013-26409 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26409.pdf https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26165.html Proposed Rule - Securities Investor Protection Corporation 2013-11-05T00:00:00-08:00 2013-11-05T00:00:00-08:00 2013-26165 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26165.pdf https://regulations.justia.com/regulations/fedreg/2013/11/05/2013-25355.html Proposed Rule - Crowdfunding 2013-11-05T00:00:00-08:00 2013-11-05T00:00:00-08:00 2013-25355 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-25355.pdf https://regulations.justia.com/regulations/fedreg/2013/11/04/2013-26447.html Notice - Acies Corporation, Immtech Pharmaceuticals, Inc., MRU Holdings, Inc., MSTI Holdings, Inc., Nestor, Inc., New Generation Holdings, Inc., and Nuevo Financial Center, Inc.; Order of Suspension of Trading 2013-11-04T00:00:00-08:00 2013-11-04T00:00:00-08:00 2013-26447 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-04/pdf/2013-26447.pdf https://regulations.justia.com/regulations/fedreg/2013/11/04/2013-26446.html Notice - In the Matter of Heritage Worldwide, Inc., Impala Mineral Exploration Corp., Klondike Star Mineral Corporation, MIV Therapeutics Inc., Most Home Corp., Moventis Capital, Inc., and OrganiTECH USA, Inc.; Order of Suspension of Trading 2013-11-04T00:00:00-08:00 2013-11-04T00:00:00-08:00 2013-26446 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-04/pdf/2013-26446.pdf https://regulations.justia.com/regulations/fedreg/2013/11/04/2013-26272.html Notice - DBX ETF Trust, et al.; Notice of Application 2013-11-04T00:00:00-08:00 2013-11-04T00:00:00-08:00 2013-26272 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-04/pdf/2013-26272.pdf https://regulations.justia.com/regulations/fedreg/2013/11/04/2013-26269.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 2013-11-04T00:00:00-08:00 2013-11-04T00:00:00-08:00 2013-26269 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-04/pdf/2013-26269.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26317.html Notice - High End Ventures, Inc., Order of Suspension of Trading 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26317 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26317.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26316.html Notice - Newtech Resources Ltd., Order of Suspension of Trading 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26316 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26316.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26293.html Notice - In the Matter of Press Ventures, Inc.; Order of Suspension of Trading 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26293 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26293.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26076.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add Topaz Exchange, LLC as a Plan Sponsor 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26076 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26076.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26074.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add Miami International Securities Exchange, LLC (“MIAX”) as a Plan Sponsor 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26074 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26074.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26073.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add Topaz Exchange, LLC as a Participant 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26073 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26073.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26072.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add the Miami International Securities Exchange, LLC as a Participant 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26072 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26072.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26068.html Notice - Cambria ETF Trust, et al.; Notice of Application 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26068 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26068.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26038.html Notice - Medley Capital Corporation, et al.; Notice of Application 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26038 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26038.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26037.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26037 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26037.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26036.html Notice - Submission for OMB Review; Comment Request 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26036 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26036.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26035.html Notice - Submission for OMB Review; Comment Request 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26035 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26035.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26034.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Concept of a “Responsible Person” on the CBOE Stock Exchange 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26034 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26034.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26033.html Notice - Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26033 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26033.pdf https://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26032.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 980NY to Specify That the Specialist Pool and Directed Order Market Makers Receive Execution Allocations of Incoming Electronic Complex Orders and Complex Order Auction Eligible Orders in Accordance With the Guaranteed Participation Provision of Rule 964NY(c)(2)(B), Without Any Exceptions 2013-11-01T00:00:00-07:00 2013-11-01T00:00:00-07:00 2013-26032 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26032.pdf