<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/12/12?registers=between Thu, 02 May 2024 08:59:40 -0700 Thu, 02 May 2024 08:59:40 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013/12/12?registers=between Notice - Minnesota Life Insurance Company, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29625.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29625.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29625 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29625.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Permit the Exchange to Exclude from Its Average Daily Volume Calculations Any Trading Day on Which the Exchange Is Closed for Trading Due To an Early Closing Or a Market-Wide Trading Halt https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29624.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29624.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29624 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29624.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29623.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29623.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29623 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29623.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29622.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29622.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29622 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29622.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning Charters for the Board of Directors, the Membership/Risk Committee, the Audit Committee and the Performance Committee https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29621.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29621.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29621 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29621.pdf Notice - Order Granting a Temporary Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 From the Filing Deadline Specified in Rule 613(a)(1) of the Exchange Act https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29620.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29620.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29620 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29620.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Listing of Additional Shares Fees Payable by Non-U.S. Companies https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29619.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29619.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29619 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29619.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change for the Extension of a Pilot Program for SPY Position and Exercise Limits https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29618.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29618.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29618 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29618.pdf Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29617.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29617.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29617 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29617.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29616.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29616.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29616 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29616.pdf 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 Raise the Take Liquidity Fee for Lead Market Maker and Market Maker Electronic Executions in Penny Pilot Issues https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29615.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29615.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29615 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29615.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Include FLEX Option Transactions in the Strategy Execution Fee Cap https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29614.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29614.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29614 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29614.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29611.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29611.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29611 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29611.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29610.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29610.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29610 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29610.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29609.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29609.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29609 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29609.pdf 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 https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29608.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29608.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29608 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29608.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29607.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29607.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29607 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29607.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29606.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29606.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29606 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29606.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29605.html https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29605.html Thu, 12 Dec 2013 00:00:00 -0800 2013-29605 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29605.pdf