Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-23T05:31:01-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28724.htmlNotice - 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 Rebate2013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28724Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28724.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28723.htmlNotice - 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 OW2013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28723Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28723.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28576.htmlNotice - Proposed Collection; Comment Request2013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28576Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28576.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28575.htmlNotice - Proposed Collection; Comment Request2013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28575Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28575.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28574.htmlNotice - 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 Peso2013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28574.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28573.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend CBOE Rule 6.422013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28573Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28573.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28572.htmlNotice - 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 Reporting2013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28572Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28572.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28571.htmlNotice - 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 Liquidity2013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28571Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28571.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28570.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan2013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28570Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28570.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/29/2013-28569.htmlNotice - 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 Division2013-11-29T00:00:00-08:002013-11-29T00:00:00-08:002013-28569Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-29/pdf/2013-28569.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28607.htmlNotice - Life Stem Genetics Inc.; Order of Suspension of Trading2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28607.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28501.htmlNotice - Proxy Advisory Firm Roundtable2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28501Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28501.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28464.htmlNotice - 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 Comment2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28464Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28464.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28429.htmlNotice - Proposed Collection; Comment Request2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28429.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28428.htmlNotice - Proposed Collection; Comment Request2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28428.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28427.htmlNotice - Proposed Collection; Comment Request2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28427.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28426.htmlNotice - Proposed Collection; Comment Request2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28426.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28425.htmlNotice - Proposed Collection; Comment Request2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28425.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28424.htmlNotice - Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28424Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28424.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28423.htmlNotice - 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 Permanent2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28423Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28423.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28422.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Regarding the Designation of a Primary Backup Data Center2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28422Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28422.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28421.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Co-Location Services2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28421Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28421.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28420.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Connectivity Options and Fees2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28420Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28420.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28419.htmlNotice - 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 Services2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28419Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28419.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28418.htmlNotice - 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 Services2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28418Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28418.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28417.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Specify the Method of Billing When More Than One Pricing Tier Could Be Applicable2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28417Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28417.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28416.htmlNotice - 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 Halt2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28416.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28415.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change to Establish an Institutional Liquidity Program on a One-Year Pilot Basis2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28415Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28415.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/27/2013-28414.htmlNotice - 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 Basis2013-11-27T00:00:00-08:002013-11-27T00:00:00-08:002013-28414Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-27/pdf/2013-28414.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28447.htmlNotice - In the Matter of Pure H20 Bio-Technologies, Inc.; Order of Suspension of Trading2013-11-26T00:00:00-08:002013-11-26T00:00:00-08:002013-28447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28447.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28274.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the CBSX Fees Schedule2013-11-26T00:00:00-08:002013-11-26T00:00:00-08:002013-28274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28274.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28273.htmlNotice - 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 Securities2013-11-26T00:00:00-08:002013-11-26T00:00:00-08:002013-28273Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28273.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28272.htmlNotice - 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 Fund2013-11-26T00:00:00-08:002013-11-26T00:00:00-08:002013-28272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28272.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/26/2013-28271.htmlNotice - 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 Schedule2013-11-26T00:00:00-08:002013-11-26T00:00:00-08:002013-28271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-26/pdf/2013-28271.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28310.htmlNotice - Sunshine Act Meeting2013-11-25T00:00:00-08:002013-11-25T00:00:00-08:002013-28310Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28310.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28275.htmlNotice - Sunshine Act Meeting2013-11-25T00:00:00-08:002013-11-25T00:00:00-08:002013-28275Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28275.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28219.htmlNotice - WisdomTree Trust, et al.; Notice of Application2013-11-25T00:00:00-08:002013-11-25T00:00:00-08:002013-28219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28219.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28162.htmlNotice - 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 8.6002013-11-25T00:00:00-08:002013-11-25T00:00:00-08:002013-28162Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28162.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28161.htmlNotice - 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 Contracts2013-11-25T00:00:00-08:002013-11-25T00:00:00-08:002013-28161Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28161.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28160.htmlNotice - 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 Friday2013-11-25T00:00:00-08:002013-11-25T00:00:00-08:002013-28160Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28160.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28159.htmlNotice - 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 Tape2013-11-25T00:00:00-08:002013-11-25T00:00:00-08:002013-28159Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28159.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28158.htmlNotice - 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 Tape2013-11-25T00:00:00-08:002013-11-25T00:00:00-08:002013-28158Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28158.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/25/2013-28157.htmlNotice - 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 Opening2013-11-25T00:00:00-08:002013-11-25T00:00:00-08:002013-28157Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28157.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/22/2013-28026.htmlNotice - 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 Change2013-11-22T00:00:00-08:002013-11-22T00:00:00-08:002013-28026Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-22/pdf/2013-28026.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-28025.htmlNotice - Order of Suspension of Trading; In the Matter of HouseRaising, Inc., iElement Corporation, InforMedix Holdings, Inc., Nortia Capital Partners, Inc., and PC Universe, Inc.2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-28025Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-28025.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27908.htmlNotice - ETFis Series Trust I, et al.; Notice of Application2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27908Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27908.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27907.htmlNotice - AIM Growth Series (Invesco Growth Series), et al.; Notice of Application2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27907Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27907.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27906.htmlNotice - 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 Trail2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27906Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27906.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27905.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27905Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27905.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27904.htmlNotice - 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 Obligations2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27904Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27904.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27903.htmlNotice - 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 Center2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27903Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27903.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27902.htmlNotice - 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 Center2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27902Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27902.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27901.htmlNotice - 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 Center2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27901.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27900.htmlNotice - 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 State2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27900.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/21/2013-27899.htmlNotice - 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 State2013-11-21T00:00:00-08:002013-11-21T00:00:00-08:002013-27899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27899.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27763.htmlNotice - Submission for OMB Review; Comment Request2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27763.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27762.htmlNotice - Submission for OMB Review; Comment Request2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27762.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27761.htmlNotice - 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”2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27761Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27761.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27760.htmlNotice - 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 Purposes2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27760Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27760.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27759.htmlNotice - 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 Limits2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27759Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27759.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27758.htmlNotice - 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”) Options2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27758.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27757.htmlNotice - 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 Schedule2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27757Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27757.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27756.htmlNotice - 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 BrokerCheck2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27756Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27756.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27755.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Eliminate the e-DPM Program2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27755.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27754.htmlNotice - 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 Share2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27754Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27754.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27753.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27753.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/20/2013-27752.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-11-20T00:00:00-08:002013-11-20T00:00:00-08:002013-27752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-20/pdf/2013-27752.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27807.htmlNotice - In The Matter of: Sovereign Lithium, Inc.; Order of Suspension of Trading2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27807Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27807.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27764.htmlNotice - Notice of Sunshine Act Meeting2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27764.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27667.htmlNotice - 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 .022013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27667Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27667.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27632.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Customer Rebate2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27632Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27632.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27631.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BATS Competitive Liquidity Provider Program2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27631.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27630.htmlNotice - 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 Action2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27630Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27630.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27629.htmlNotice - 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 10802013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27629.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27628.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 504, Trading Halts2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27628.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27627.htmlNotice - 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 Action2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27627Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27627.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27626.htmlNotice - 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 70182013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27626Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27626.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27625.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27625.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27624.htmlNotice - 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 Fee2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27624.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27623.htmlNotice - 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 Orders2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27623.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27622.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Relating to Market Maker Appointment Cost Rebalances2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27622.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27621.htmlNotice - 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 Options2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27621.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27620.htmlNotice - 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 Options2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27620Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27620.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27619.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27619.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27618.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27618Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27618.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/19/2013-27617.htmlNotice - 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 Environment2013-11-19T00:00:00-08:002013-11-19T00:00:00-08:002013-27617Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-19/pdf/2013-27617.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27478.htmlNotice - Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC; Notice of Application2013-11-18T00:00:00-08:002013-11-18T00:00:00-08:002013-27478Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27478.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27477.htmlNotice - Altegris Advisors, L.L.C., et al.; Notice of Application2013-11-18T00:00:00-08:002013-11-18T00:00:00-08:002013-27477Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27477.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27476.htmlNotice - Ranger Alternative Management, L.P. and Ranger Funds Investment Trust; Notice of Application2013-11-18T00:00:00-08:002013-11-18T00:00:00-08:002013-27476Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27476.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27475.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Box Spread Strategies2013-11-18T00:00:00-08:002013-11-18T00:00:00-08:002013-27475Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27475.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27474.htmlNotice - 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 Names2013-11-18T00:00:00-08:002013-11-18T00:00:00-08:002013-27474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27474.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27473.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Decommission Its Trade Risk Pro Service2013-11-18T00:00:00-08:002013-11-18T00:00:00-08:002013-27473Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27473.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27472.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Obvious Error2013-11-18T00:00:00-08:002013-11-18T00:00:00-08:002013-27472Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27472.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27471.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Customized Option Pricing Service2013-11-18T00:00:00-08:002013-11-18T00:00:00-08:002013-27471Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27471.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/18/2013-27470.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Obvious Error2013-11-18T00:00:00-08:002013-11-18T00:00:00-08:002013-27470Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-18/pdf/2013-27470.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27383.htmlNotice - Dodd-Frank Investor Advisory Committee; Meeting2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27383Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27383.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27346.htmlNotice - Proposed Collection; Comment Request2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27346Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27346.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27345.htmlNotice - 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 Standards2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27345Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27345.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27344.htmlNotice - 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 Standards2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27344Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27344.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27327.htmlNotice - Proposed Collection; Comment Request2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27327Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27327.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27326.htmlNotice - Proposed Collection; Comment Request2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27326Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27326.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27325.htmlNotice - Proposed Collection; Comment Request2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27325Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27325.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27324.htmlNotice - Proposed Collection; Comment Request2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27324Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27324.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27323.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27323Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27323.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27322.htmlNotice - 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)2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27322Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27322.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27321.htmlNotice - 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.2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27321Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27321.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27320.htmlNotice - 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.2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27320Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27320.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/15/2013-27289.htmlNotice - 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 Receipts2013-11-15T00:00:00-08:002013-11-15T00:00:00-08:002013-27289Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-15/pdf/2013-27289.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27240.htmlNotice - 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 Authority2013-11-14T00:00:00-08:002013-11-14T00:00:00-08:002013-27240Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27240.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27207.htmlNotice - 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 Halts2013-11-14T00:00:00-08:002013-11-14T00:00:00-08:002013-27207Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27207.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27206.htmlNotice - 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 Division2013-11-14T00:00:00-08:002013-11-14T00:00:00-08:002013-27206Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27206.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27205.htmlNotice - 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 Halts2013-11-14T00:00:00-08:002013-11-14T00:00:00-08:002013-27205Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27205.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27204.htmlNotice - 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 VI2013-11-14T00:00:00-08:002013-11-14T00:00:00-08:002013-27204Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27204.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27203.htmlNotice - 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 VI2013-11-14T00:00:00-08:002013-11-14T00:00:00-08:002013-27203Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27203.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27202.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBSX Fees Schedule2013-11-14T00:00:00-08:002013-11-14T00:00:00-08:002013-27202Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27202.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/14/2013-27201.htmlNotice - 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 Rules2013-11-14T00:00:00-08:002013-11-14T00:00:00-08:002013-27201Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-14/pdf/2013-27201.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27238.htmlNotice - In the Matter of Far Vista Petroleum Corp.; Order of Suspension of Trading2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27238Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27238.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27100.htmlNotice - 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 Act2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27100Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27100.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27053.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Establish a Retail Liquidity Program2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27053.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27052.htmlNotice - 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 Powers2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27052Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27052.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27051.htmlNotice - 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 Order2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27051Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27051.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27048.htmlNotice - 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 Fees2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27048Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27048.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27042.htmlNotice - 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 Issues2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27042.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27041.htmlNotice - 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 Day2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27041.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27040.htmlNotice - 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 Day2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27040.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/13/2013-27039.htmlNotice - Transamerica Life Insurance Company, et al; Notice of Application2013-11-13T00:00:00-08:002013-11-13T00:00:00-08:002013-27039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-13/pdf/2013-27039.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/12/2013-27182.htmlNotice - Notice of Sunshine Act Meeting2013-11-12T00:00:00-08:002013-11-12T00:00:00-08:002013-27182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-27182.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26957.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2013-11-12T00:00:00-08:002013-11-12T00:00:00-08:002013-26957Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26957.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26956.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2013-11-12T00:00:00-08:002013-11-12T00:00:00-08:002013-26956Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26956.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26955.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amendments to the EDGX Exchange, Inc. Fee Schedule2013-11-12T00:00:00-08:002013-11-12T00:00:00-08:002013-26955Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26955.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26935.htmlNotice - 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 Fund2013-11-12T00:00:00-08:002013-11-12T00:00:00-08:002013-26935Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26935.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26934.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to CBSX Trading Permit Holder Eligibility2013-11-12T00:00:00-08:002013-11-12T00:00:00-08:002013-26934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26934.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/12/2013-26933.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on BOX2013-11-12T00:00:00-08:002013-11-12T00:00:00-08:002013-26933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-26933.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/12/2013-23524.htmlRule - Registration of Municipal Advisors2013-11-12T00:00:00-08:002013-11-12T00:00:00-08:002013-23524Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-23524.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/08/2013-26756.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Withdrawal of Proposed Rule Change Relating to NDX and RUT Combination Orders November 4, 2013.2013-11-08T00:00:00-08:002013-11-08T00:00:00-08:002013-26756Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-08/pdf/2013-26756.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/08/2013-26755.htmlNotice - 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 Swaps2013-11-08T00:00:00-08:002013-11-08T00:00:00-08:002013-26755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-08/pdf/2013-26755.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/07/2013-26664.htmlNotice - 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 Schedule2013-11-07T00:00:00-08:002013-11-07T00:00:00-08:002013-26664Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-07/pdf/2013-26664.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/07/2013-26663.htmlNotice - 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 8.6002013-11-07T00:00:00-08:002013-11-07T00:00:00-08:002013-26663Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-07/pdf/2013-26663.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/07/2013-26662.htmlNotice - 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 Periods2013-11-07T00:00:00-08:002013-11-07T00:00:00-08:002013-26662Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-07/pdf/2013-26662.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26558.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Apply Routing Fees to Penny Pilot Issues2013-11-06T00:00:00-08:002013-11-06T00:00:00-08:002013-26558Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26558.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26557.htmlNotice - Consolidated Tape Association; Order Approving the Eighteenth Substantive Amendment to the Second Restatement of the CTA Plan2013-11-06T00:00:00-08:002013-11-06T00:00:00-08:002013-26557Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26557.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26556.htmlNotice - 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.2013-11-06T00:00:00-08:002013-11-06T00:00:00-08:002013-26556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26556.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26555.htmlNotice - 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 Orders2013-11-06T00:00:00-08:002013-11-06T00:00:00-08:002013-26555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26555.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26554.htmlNotice - 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 Trades2013-11-06T00:00:00-08:002013-11-06T00:00:00-08:002013-26554Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26554.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26553.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule2013-11-06T00:00:00-08:002013-11-06T00:00:00-08:002013-26553Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26553.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/06/2013-26552.htmlNotice - 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 Index2013-11-06T00:00:00-08:002013-11-06T00:00:00-08:002013-26552Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-06/pdf/2013-26552.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26559.htmlNotice - Sunshine Act Meeting2013-11-05T00:00:00-08:002013-11-05T00:00:00-08:002013-26559Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26559.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26412.htmlNotice - OFS Capital Corporation, et al.; Notice of Application2013-11-05T00:00:00-08:002013-11-05T00:00:00-08:002013-26412Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26412.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26411.htmlNotice - 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 Facility2013-11-05T00:00:00-08:002013-11-05T00:00:00-08:002013-26411Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26411.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26410.htmlNotice - 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 8.6002013-11-05T00:00:00-08:002013-11-05T00:00:00-08:002013-26410Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26410.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26409.htmlNotice - 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 8.6002013-11-05T00:00:00-08:002013-11-05T00:00:00-08:002013-26409Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26409.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/05/2013-26165.htmlProposed Rule - Securities Investor Protection Corporation2013-11-05T00:00:00-08:002013-11-05T00:00:00-08:002013-26165Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-26165.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/05/2013-25355.htmlProposed Rule - Crowdfunding2013-11-05T00:00:00-08:002013-11-05T00:00:00-08:002013-25355Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-05/pdf/2013-25355.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/04/2013-26447.htmlNotice - 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 Trading2013-11-04T00:00:00-08:002013-11-04T00:00:00-08:002013-26447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-04/pdf/2013-26447.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/04/2013-26446.htmlNotice - 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 Trading2013-11-04T00:00:00-08:002013-11-04T00:00:00-08:002013-26446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-04/pdf/2013-26446.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/04/2013-26272.htmlNotice - DBX ETF Trust, et al.; Notice of Application2013-11-04T00:00:00-08:002013-11-04T00:00:00-08:002013-26272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-04/pdf/2013-26272.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/04/2013-26269.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule2013-11-04T00:00:00-08:002013-11-04T00:00:00-08:002013-26269Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-04/pdf/2013-26269.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26317.htmlNotice - High End Ventures, Inc., Order of Suspension of Trading2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26317.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26316.htmlNotice - Newtech Resources Ltd., Order of Suspension of Trading2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26316Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26316.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26293.htmlNotice - In the Matter of Press Ventures, Inc.; Order of Suspension of Trading2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26293.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26076.htmlNotice - 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 Sponsor2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26076.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26074.htmlNotice - 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 Sponsor2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26074.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26073.htmlNotice - 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 Participant2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26073Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26073.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26072.htmlNotice - 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 Participant2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26072.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26068.htmlNotice - Cambria ETF Trust, et al.; Notice of Application2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26068.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26038.htmlNotice - Medley Capital Corporation, et al.; Notice of Application2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26038.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26037.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26037.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26036.htmlNotice - Submission for OMB Review; Comment Request2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26036Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26036.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26035.htmlNotice - Submission for OMB Review; Comment Request2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26035Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26035.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26034.htmlNotice - 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 Exchange2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26034.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26033.htmlNotice - Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26033.pdfhttps://regulations.justia.com/regulations/fedreg/2013/11/01/2013-26032.htmlNotice - 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 Exceptions2013-11-01T00:00:00-07:002013-11-01T00:00:00-07:002013-26032Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-11-01/pdf/2013-26032.pdf