Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2021-05-05T21:58:48-07:00 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/2013/12/30/2013-31172.html Rule - Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31172 Rule http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31172.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31138.html Notice - Proposed Collection; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213. 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31138 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31138.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31137.html Notice - IndexIQ ETF Trust, et al.; Notice of Application 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31137 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31137.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31136.html Notice - IndexIQ ETF Trust, et al.; Notice of Application 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31136 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31136.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31135.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31135 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31135.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31134.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook, as Modified by Amendment No. 1 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31134 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31134.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31133.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Its Rules Regarding Option Orders That Include a Stock Component 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31133 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31133.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31132.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of a Longer Period for Commission Action on 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 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31132 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31132.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31131.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval to Proposed Rule Change To Establish a Retail Liquidity Program on a Pilot Basis for a Period of One Year From the Date of Implementation and Granting Request for a Limited Exemption From Rule 612 of Regulation NMS 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31131 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31131.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31130.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104-Equities, Each as Modified by an Amendment No. 1, To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchanges' Rules Governing the Ability of DMMs To Provide Market Information to Floor Brokers, and To Make Conforming Amendments to Other Rules 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31130 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31130.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31129.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Options Execution Algorithm With Priority Overlays 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31129 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31129.pdf https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31128.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Exchange's By-Laws 2013-12-30T00:00:00-08:00 2013-12-30T00:00:00-08:00 2013-31128 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31128.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30969.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of “System Securities” in PSX Rule 3301(b) 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30969 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30969.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30968.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of “System Securities” in BX Rule 4751(b) 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30968 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30968.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30967.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Definition of “System Securities” in NASDAQ Rule 4751 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30967 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30967.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30966.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Risk Management Tools Designed To Allow ETP Holders To Monitor and Address Exposure to Risk 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30966 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30966.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30965.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Risk Management Tools Designed To Allow Member Organizations To Monitor and Address Exposure to Risk 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30965 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30965.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30964.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Risk Management Tools Designed to Allow Member Organizations to Monitor and Address Exposure to Risk 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30964 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30964.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30963.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rent Cabinet Space to Telecommunication Vendors in the Exchange's Backup Datacenter 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30963 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30963.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30941.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Amend Commentary .02 to Exchange Rule 6.72 in Order To Extend the Penny Pilot in Options Classes in Certain Issues Previously Approved by the Securities and Exchange Commission Through June 30, 2014 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30941 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30941.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30940.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes to Amend Commentary .02 to NYSE Amex Options Rule 960NY in order to Extend the Penny Pilot in Options Classes in Certain Issues Previously Approved by the Securities and Exchange Commission through June 30, 2014 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30940 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30940.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30939.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30939 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30939.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30938.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving 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 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30938 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30938.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30937.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to CBSX Trading Permit Holder Eligibility 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30937 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30937.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30936.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Discontinue its Stock Borrow Program 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30936 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30936.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30934.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30934 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30934.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30933.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rules To Hold a Volatility Closing Auction 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30933 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30933.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30932.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Controversial Changes to ISE Rules 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30932 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30932.pdf https://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30931.html Notice - Proposed Collection; Comment Request 2013-12-27T00:00:00-08:00 2013-12-27T00:00:00-08:00 2013-30931 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30931.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30771.html Notice - Forethought Variable Insurance Trust, et al.; Notice of Application 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30771 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30771.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30770.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30770 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30770.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30769.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit Complex Orders to Participate in Price Improvement Periods 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30769 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30769.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30768.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Update the Rules Governing the Alternative Display Facility 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30768 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30768.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30767.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NYSE Arca Equities Rule 7.25 in Order To Create a Crowd Participant Program To Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers Qualified With the Exchange as CPs 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30767 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30767.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30766.html Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Amend Rules 143 and 417 Relating to Block Trade Reporting 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30766 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30766.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30765.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change Relating to a New MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30765 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30765.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30764.html Notice - Order Granting Application by Financial Industry Regulatory Authority, Inc. for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30764 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30764.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30763.html Notice - Order Granting a Limited Exemption From Rule 102(a) of Regulation M to Certain Business Development Companies Pursuant to Rule 102(e) of Regulation M 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30763 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30763.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30762.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30762 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30762.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30761.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. 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30761 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30761.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30760.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30760 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30760.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30759.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. 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30759 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30759.pdf https://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30758.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Single-Sided Order Fees and Credits 2013-12-26T00:00:00-08:00 2013-12-26T00:00:00-08:00 2013-30758 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30758.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30796.html Notice - CompuSonics Video Corporation, Order of Suspension of Trading 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30796 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30796.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30631.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of Manna Core Equity Enhanced Dividend Income Fund Under NYSE Arca Equities Rule 8.600 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30631 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30631.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30629.html Notice - Extension of Comment Period for Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30629 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30629.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30595.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30595 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30595.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30594.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Partial Cabinets and Cabinet Upgrades As Part of Its Co-location Services and To Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Reflect the New Services 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30594 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30594.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30593.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Partial Cabinets and Cabinet Upgrades As Part of Its Co-location Services and to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Reflect the New Services 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30593 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30593.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30592.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify BATS Options Market Maker Continuous Quoting Obligation Rules 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30592 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30592.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30591.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30591 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30591.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30590.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Credit Option Margin Pilot Program 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30590 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30590.pdf https://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30589.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Partial Cabinets and Cabinet Upgrades as Part of its Co-location Services and to Amend its Price List to Reflect the New Services 2013-12-24T00:00:00-08:00 2013-12-24T00:00:00-08:00 2013-30589 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30589.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30499.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30499 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30499.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30454.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Two Features Relating to Complex Orders 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30454 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30454.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30453.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30453 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30453.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30452.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30452 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30452.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30451.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30451 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30451.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30450.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30450 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30450.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30449.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30449 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30449.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30448.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Describe the Implementation of Rule 4626(b)(3) 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30448 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30448.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30447.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Cabinet Trading Pilot Program 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30447 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30447.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30446.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until January 5, 2015 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30446 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30446.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30445.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until January 5, 2015 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30445 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30445.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30444.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $1 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30444 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30444.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30443.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Back-Up Trading Arrangements 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30443 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30443.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30442.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving 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 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30442 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30442.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30441.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Make a Non-Material Housekeeping Rule Change So That OCC's Membership Qualifications Accurately Reflect Current Operational Practices 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30441 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30441.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30440.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 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30440 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30440.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30439.html Notice - Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Data Offerings 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30439 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30439.pdf https://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30438.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to the OTC IRS Fee Schedule and Changes to the IRS Manual of Operations 2013-12-23T00:00:00-08:00 2013-12-23T00:00:00-08:00 2013-30438 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30438.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30474.html Notice - In the Matter of the Enlightened Gourmet, Inc., Eternal Image, Inc., NMT Medical, Inc., and Wits Basin Precious Minerals, Inc.; Order of Suspension of Trading 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30474 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30474.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30473.html Notice - Golden Elephant Glass Technology, Inc., and Pacific Alliance Corp.; Order of Suspension of Trading 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30473 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30473.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30274.html Notice - Proposed Collection; Comment Request 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30274 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30274.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30273.html Notice - Proposed Collection; Comment Request 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30273 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30273.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30272.html Notice - Catalyst Capital Advisors LLC and Mutual Fund Series Trust; Notice of Application 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30272 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30272.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30271.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 104 and 123C To Specify That Closings May Be Effectuated Manually or Electronically 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30271 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30271.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30270.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 104-Equities and 123C-Equities To Specify That Closings May Be Effectuated Manually or Electronically 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30270 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30270.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30269.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove References to the Nasdaq 100 Index 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30269 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30269.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30268.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the Governance Committee Charter 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30268 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30268.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30267.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30267 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30267.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30266.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 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30266 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30266.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30265.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Relating to the Quarterly Option Series Program 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30265 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30265.pdf https://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30264.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Short Term Option Series Program 2013-12-20T00:00:00-08:00 2013-12-20T00:00:00-08:00 2013-30264 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30264.pdf https://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30182.html Notice - Wells Fargo Funds Trust, et al.; Notice of Application 2013-12-19T00:00:00-08:00 2013-12-19T00:00:00-08:00 2013-30182 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30182.pdf https://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30181.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Rebates for Transactions in Qualified Contingent Cross Orders 2013-12-19T00:00:00-08:00 2013-12-19T00:00:00-08:00 2013-30181 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30181.pdf https://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30180.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-12-19T00:00:00-08:00 2013-12-19T00:00:00-08:00 2013-30180 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30180.pdf https://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30179.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of AdvisorShares International Gold ETF; AdvisorShares Gartman Gold/Yen ETF; AdvisorShares Gartman Gold/British Pound ETF; and AdvisorShares Gartman Gold/Euro ETF Under NYSE Arca Equities Rule 8.600 2013-12-19T00:00:00-08:00 2013-12-19T00:00:00-08:00 2013-30179 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30179.pdf https://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30178.html Notice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-12-19T00:00:00-08:00 2013-12-19T00:00:00-08:00 2013-30178 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30178.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30213.html Notice - Sunshine Act Meeting 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30213 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30213.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30089.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Establish Modified Hybrid Opening System Opening Procedures for All Volatility Index Constituent Options 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30089 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30089.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30051.html Notice - Proposed Collection; Comment Request 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30051 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30051.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30050.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the SPDR MFS Systematic Core Equity ETF, SPDR MFS Systematic Growth Equity ETF, and SPDR MFS Systematic Value Equity ETF Under NYSE Arca Equities Rule 8.600 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30050 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30050.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30049.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change Procedure for Processing Fingerprints Under Existing Rule 1408 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30049 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30049.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30048.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Pricing Schedule 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30048 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30048.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30047.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30047 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30047.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30046.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.12, Limitations of Liability 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30046 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30046.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30045.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.12, Limitations of Liability 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30045 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30045.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30044.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of Recent Changes to Rule 4120(c)(7)(C) 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30044 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30044.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30043.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 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30043 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30043.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30042.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 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30042 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30042.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30041.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Reporting of Odd Lot Transactions for Inclusion on the Consolidated Tape and Clarify the Operation of the Market Order Type 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30041 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30041.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30040.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30040 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30040.pdf https://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30039.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or More 2013-12-18T00:00:00-08:00 2013-12-18T00:00:00-08:00 2013-30039 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30039.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-30068.html Notice - Makism3D Corp.; Order of Suspension of Trading 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-30068 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-30068.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-30053.html Notice - Sunshine Act Meeting 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-30053 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-30053.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-30052.html Notice - Sunshine Act Meeting 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-30052 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-30052.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29961.html Notice - Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29961 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29961.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29960.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 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29960 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29960.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29902.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 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29902 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29902.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29901.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 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29901 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29901.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29900.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29900 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29900.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29899.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29899 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29899.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29898.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 Credits Under Rules 7014 and 7018 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29898 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29898.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29897.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29897 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29897.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29896.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29896 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29896.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29895.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29895 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29895.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29894.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29894 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29894.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29893.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 Shares of the Merk Gold Trust Pursuant to NYSE Arca Equities Rule 8.201 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29893 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29893.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29892.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Under the PHLX Pricing Schedule for Use of the Carteret Testing Facility Test Environment 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29892 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29892.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29891.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Under Rule 7030(d) for Use of the Carteret Testing Facility Test Environment 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29891 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29891.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29890.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Short Term Option Series Program 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29890 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29890.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29889.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Short Term Option Series Program 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29889 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29889.pdf https://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29888.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change To Add Rules Related to the Clearing of MCDX Index CDS Contracts and Make Conforming Changes to Existing Rules 2013-12-17T00:00:00-08:00 2013-12-17T00:00:00-08:00 2013-29888 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29888.pdf https://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29903.html Notice - Sunshine Act Meeting 2013-12-16T00:00:00-08:00 2013-12-16T00:00:00-08:00 2013-29903 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29903.pdf https://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29802.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Listing Rules on Independence of Compensation Committee Members 2013-12-16T00:00:00-08:00 2013-12-16T00:00:00-08:00 2013-29802 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29802.pdf https://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29780.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Governance Committee Charter 2013-12-16T00:00:00-08:00 2013-12-16T00:00:00-08:00 2013-29780 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29780.pdf https://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29764.html Notice - Submission for OMB Review; Comment Request 2013-12-16T00:00:00-08:00 2013-12-16T00:00:00-08:00 2013-29764 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29764.pdf https://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29763.html Notice - Submission for OMB Review; Comment Request 2013-12-16T00:00:00-08:00 2013-12-16T00:00:00-08:00 2013-29763 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29763.pdf https://regulations.justia.com/regulations/fedreg/2013/12/13/2013-29741.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval to Proposed Rule Change to Amend the Quantitative Continued Listing Standards Applicable to Companies Listed Under Sections 102.01C and 103.01B of the Listed Company Manual 2013-12-13T00:00:00-08:00 2013-12-13T00:00:00-08:00 2013-29741 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-13/pdf/2013-29741.pdf https://regulations.justia.com/regulations/fedreg/2013/12/13/2013-29740.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Penny and Non-Penny Pilot Options 2013-12-13T00:00:00-08:00 2013-12-13T00:00:00-08:00 2013-29740 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-13/pdf/2013-29740.pdf https://regulations.justia.com/regulations/fedreg/2013/12/13/2013-29739.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Uniform Branch Office Registration Form (Form BR) 2013-12-13T00:00:00-08:00 2013-12-13T00:00:00-08:00 2013-29739 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-13/pdf/2013-29739.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29625.html Notice - Minnesota Life Insurance Company, et al.; Notice of Application 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29625 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29625.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29624.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 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29624 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29624.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29623.html 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29623 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29623.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29622.html 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29622 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29622.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29621.html 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29621 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29621.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29620.html 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29620 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29620.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29619.html 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29619 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29619.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29618.html 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29618 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29618.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29617.html 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. 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29617 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29617.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29616.html 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. 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29616 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29616.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29615.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 Raise the Take Liquidity Fee for Lead Market Maker and Market Maker Electronic Executions in Penny Pilot Issues 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29615 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29615.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29614.html 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29614 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29614.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29611.html 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. 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29611 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29611.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29610.html 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. 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29610 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29610.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29609.html 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. 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29609 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29609.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29608.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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29608 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29608.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29607.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29607 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29607.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29606.html 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29606 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29606.pdf https://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29605.html 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 2013-12-12T00:00:00-08:00 2013-12-12T00:00:00-08:00 2013-29605 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29605.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29551.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Short Term Option Series Program 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29551 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29551.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29550.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29550 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29550.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29501.html Notice - Proposed Collection; Comment Request 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29501 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29501.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29500.html Notice - Proposed Collection; Comment Request 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29500 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29500.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29499.html Notice - American Beacon Funds, et al.; Notice of Application 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29499 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29499.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29498.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice Filing, as Modified by Amendment Nos. 1, 2, and 3, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29498 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29498.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29497.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29497 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29497.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29496.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposes To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Specify the Exclusion of Odd Lot Transactions From Consolidated Average Daily Volume Calculations for a Limited Period of Time for Purposes of Certain Transaction Pricing on the Exchange Through January 31, 2014 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29496 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29496.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29495.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Specify the Exclusion of Odd Lot Transactions From Consolidated Average Daily Volume Calculations for a Limited Period of Time for Purposes of Certain Transaction Pricing on the Exchange Through January 31, 2014 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29495 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29495.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29494.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend CBOE Rule 18.2 (Procedures in Trading Permit Holder Controversies) 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29494 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29494.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29493.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order To Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29493 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29493.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29492.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Merk Hard Currency ETF Under NYSE Arca Equities Rule 8.600 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29492 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29492.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29491.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the WisdomTree Bloomberg U.S. Dollar Bullish Fund, WisdomTree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund Under NYSE Arca Equities Rule 8.600 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29491 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29491.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29490.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 402 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29490 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29490.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29489.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretive Material To Rule 5050 To Eliminate the Cap on the Number of Additional Series That May be Listed Per Expiration Month for Each Quarterly Options Series in Exchange-Traded Fund Options 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29489 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29489.pdf https://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29488.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-11, on Primary Offering Practices, Relating to Changes in a Bond Authorizing Document 2013-12-11T00:00:00-08:00 2013-12-11T00:00:00-08:00 2013-29488 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29488.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29529.html Notice - Guar Global Ltd.; Order of Suspension of Trading 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29529 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29529.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29528.html Notice - Aden Solutions, Inc.; Order of Suspension of Trading 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29528 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29528.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29474.html Notice - Sunshine Act Meeting 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29474 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29474.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29387.html Notice - Compass Efficient Model Portfolios, LLC, et al.; Notice of Application 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29387 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29387.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29386.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the iShares Liquidity Income Fund 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29386 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29386.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29385.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29385 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29385.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29384.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule in Order To Provide for Fees for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29384 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29384.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29383.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 and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services in Order To Provide for Fees for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29383 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29383.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29382.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List in Order To Provide for Fees for a Lower-Latency 10 Gigabit Liquidity Center Network Connection in the Exchange's Data Center 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29382 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29382.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29381.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 925NY To Eliminate the Requirement That Market Makers Comply With the Bid-Ask Differential Requirements Specified in Rule 925NY(b)(4)(A)-(E) When Electronically Bidding and Offering on the Exchange System During the Opening Auction Process 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29381 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29381.pdf https://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29380.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.37A To Eliminate the Requirement That Market Makers Comply With the Bid-Ask Differential Requirements Specified in Rule 6.37(b)(1)(A)-(F) When Electronically Bidding and Offering on the Exchange System During the Opening Auction Process 2013-12-10T00:00:00-08:00 2013-12-10T00:00:00-08:00 2013-29380 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29380.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29416.html Notice - In the Matter of ICC Worldwide, Inc., Innova Pure Water, Inc., Paladin Holdings, Inc., Performing Brands, Inc., Petrol Oil and Gas, Inc., Platinum Research Organization, Inc., Renew Energy Resources, Inc., and Vital Living, Inc.; Order of Suspension of Trading 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29416 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29416.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29280.html Notice - In the Matter of Catch By Gene, Inc., Four Star Holdings, Inc., Great Spirits, Inc., and Texas Sweet Crude Oil Corp.; Order of Suspension of Trading 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29280 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29280.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29278.html Notice - Community Alliance, Inc., Defi Global, Inc., Easy Energy, Inc., Industry Concept Holdings, Inc., and Transworld Benefits International, Inc.; Order of Suspension of Trading 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29278 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29278.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29263.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29263 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29263.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29262.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Section 907.00 of the Listed Company Manual To Expand the Suite of Complimentary Products and Services That Are Offered to Listed Companies 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29262 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29262.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29261.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend IM-3120-2 to Rule 3120 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29261 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29261.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29260.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 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29260 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29260.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29259.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 6.8 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29259 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29259.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29258.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Program That Eliminated the Position and Exercise Limits for Options on SPDR S&P 500 ETF 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29258 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29258.pdf https://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29257.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) 2013-12-09T00:00:00-08:00 2013-12-09T00:00:00-08:00 2013-29257 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29257.pdf https://regulations.justia.com/regulations/fedreg/2013/12/06/2013-29117.html Notice - VTL Associates, LLC, et al.; Notice of Application 2013-12-06T00:00:00-08:00 2013-12-06T00:00:00-08:00 2013-29117 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-06/pdf/2013-29117.pdf https://regulations.justia.com/regulations/fedreg/2013/12/06/2013-29092.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Risk Monitoring Functionality Offered by the Exchange 2013-12-06T00:00:00-08:00 2013-12-06T00:00:00-08:00 2013-29092 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-06/pdf/2013-29092.pdf https://regulations.justia.com/regulations/fedreg/2013/12/05/2013-29043.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Concerning Communications With the Public To Harmonize Them With Certain Financial Industry Regulatory Authority, Inc. Rules and Make Other Conforming Changes 2013-12-05T00:00:00-08:00 2013-12-05T00:00:00-08:00 2013-29043 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-05/pdf/2013-29043.pdf https://regulations.justia.com/regulations/fedreg/2013/12/05/2013-29042.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Concerning Communications With the Public To Harmonize Them With Certain Financial Industry Regulatory Authority, Inc. Rules and Make Other Conforming Changes 2013-12-05T00:00:00-08:00 2013-12-05T00:00:00-08:00 2013-29042 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-05/pdf/2013-29042.pdf https://regulations.justia.com/regulations/fedreg/2013/12/05/2013-29041.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Multi-Class Spread Orders 2013-12-05T00:00:00-08:00 2013-12-05T00:00:00-08:00 2013-29041 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-05/pdf/2013-29041.pdf https://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28977.html Notice - Proposed Collection; Comment Request 2013-12-04T00:00:00-08:00 2013-12-04T00:00:00-08:00 2013-28977 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28977.pdf https://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28976.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection-Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook, as Modified by Partial Amendments No. 1 and No. 2 2013-12-04T00:00:00-08:00 2013-12-04T00:00:00-08:00 2013-28976 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28976.pdf https://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28975.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) 2013-12-04T00:00:00-08:00 2013-12-04T00:00:00-08:00 2013-28975 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28975.pdf https://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28973.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending NYSE Rules 13, 70.25, 107C and 1000 To Adopt a New Order Type Called a Midpoint Passive Liquidity Order 2013-12-04T00:00:00-08:00 2013-12-04T00:00:00-08:00 2013-28973 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28973.pdf https://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28972.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending NYSE MKT Rules 13-Equities, 70.25-Equities, 107C-Equities and 1000-Equities To Adopt a New Order Type Called a Midpoint Passive Liquidity Order 2013-12-04T00:00:00-08:00 2013-12-04T00:00:00-08:00 2013-28972 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28972.pdf https://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28971.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 Under NYSE Arca Equities Rule 8.600 Shares of Nine Series of the IndexIQ Active ETF Trust 2013-12-04T00:00:00-08:00 2013-12-04T00:00:00-08:00 2013-28971 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28971.pdf https://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28970.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 31 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. 2013-12-04T00:00:00-08:00 2013-12-04T00:00:00-08:00 2013-28970 Notice http://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28970.pdf