Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2013?limit=200®isters=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom2024-04-24T09:27:18-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31172.htmlRule - Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31172Rulehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31172.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31138.htmlNotice - Proposed Collection; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213.2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31138.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31137.htmlNotice - IndexIQ ETF Trust, et al.; Notice of Application2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31137.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31136.htmlNotice - IndexIQ ETF Trust, et al.; Notice of Application2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31136.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31135.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31135.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31134.htmlNotice - 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. 12013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31134.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31133.htmlNotice - 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 Component2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31133.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31132.htmlNotice - 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 Order2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31132.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31131.htmlNotice - 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 NMS2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31131.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31130.htmlNotice - 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 Rules2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31130.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31129.htmlNotice - 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 Overlays2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31129.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31128.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Exchange's By-Laws2013-12-30T00:00:00-08:002013-12-30T00:00:00-08:002013-31128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-30/pdf/2013-31128.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30969.htmlNotice - 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)2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30969Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30969.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30968.htmlNotice - 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)2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30968Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30968.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30967.htmlNotice - 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 47512013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30967Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30967.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30966.htmlNotice - 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 Risk2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30966Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30966.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30965.htmlNotice - 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 Risk2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30965.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30964.htmlNotice - 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 Risk2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30964.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30963.htmlNotice - 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 Datacenter2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30963.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30941.htmlNotice - 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, 20142013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30941.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30940.htmlNotice - 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, 20142013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30940.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30939.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30939.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30938.htmlNotice - 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 Authority2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30938Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30938.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30937.htmlNotice - 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 Eligibility2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30937Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30937.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30936.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Discontinue its Stock Borrow Program2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30936Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30936.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30934.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30934Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30934.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30933.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rules To Hold a Volatility Closing Auction2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30933Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30933.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30932.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Controversial Changes to ISE Rules2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30932Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30932.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/27/2013-30931.htmlNotice - Proposed Collection; Comment Request2013-12-27T00:00:00-08:002013-12-27T00:00:00-08:002013-30931Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-27/pdf/2013-30931.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30771.htmlNotice - Forethought Variable Insurance Trust, et al.; Notice of Application2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30771Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30771.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30770.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30770Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30770.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30769.htmlNotice - 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 Periods2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30769Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30769.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30768.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Update the Rules Governing the Alternative Display Facility2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30768Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30768.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30767.htmlNotice - 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 CPs2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30767Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30767.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30766.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Amend Rules 143 and 417 Relating to Block Trade Reporting2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30766.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30765.htmlNotice - 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 Securities2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30765.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30764.htmlNotice - 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 Reference2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30764.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30763.htmlNotice - Order Granting a Limited Exemption From Rule 102(a) of Regulation M to Certain Business Development Companies Pursuant to Rule 102(e) of Regulation M2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30763.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30762.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30762Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30762.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30761.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30761Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30761.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30760.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30760Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30760.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30759.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30759Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30759.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/26/2013-30758.htmlNotice - 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 Credits2013-12-26T00:00:00-08:002013-12-26T00:00:00-08:002013-30758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30758.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30796.htmlNotice - CompuSonics Video Corporation, Order of Suspension of Trading2013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30796.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30631.htmlNotice - 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 8.6002013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30631Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30631.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30629.htmlNotice - Extension of Comment Period for Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies2013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30629.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30595.htmlNotice - 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 Securities2013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30595.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30594.htmlNotice - 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 Services2013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30594.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30593.htmlNotice - 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 Services2013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30593.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30592.htmlNotice - 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 Rules2013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30592.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30591.htmlNotice - 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 8.6002013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30591Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30591.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30590.htmlNotice - 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 Program2013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30590Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30590.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/24/2013-30589.htmlNotice - 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 Services2013-12-24T00:00:00-08:002013-12-24T00:00:00-08:002013-30589Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-24/pdf/2013-30589.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30499.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30499.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30454.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Two Features Relating to Complex Orders2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30454Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30454.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30453.htmlNotice - 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 Program2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30453Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30453.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30452.htmlNotice - 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 Delisted2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30452Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30452.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30451.htmlNotice - 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 Delisted2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30451Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30451.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30450.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30450Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30450.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30449.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30449Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30449.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30448.htmlNotice - 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)2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30448Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30448.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30447.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Cabinet Trading Pilot Program2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30447Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30447.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30446.htmlNotice - 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, 20152013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30446Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30446.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30445.htmlNotice - 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, 20152013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30445Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30445.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30444.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $12013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30444Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30444.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30443.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Back-Up Trading Arrangements2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30443Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30443.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30442.htmlNotice - 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 Division2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30442Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30442.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30441.htmlNotice - 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 Practices2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30441Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30441.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30440.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBSX Fees Schedule2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30440Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30440.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30439.htmlNotice - Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Data Offerings2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30439Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30439.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/23/2013-30438.htmlNotice - 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 Operations2013-12-23T00:00:00-08:002013-12-23T00:00:00-08:002013-30438Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-23/pdf/2013-30438.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30474.htmlNotice - In the Matter of the Enlightened Gourmet, Inc., Eternal Image, Inc., NMT Medical, Inc., and Wits Basin Precious Minerals, Inc.; Order of Suspension of Trading2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30474.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30473.htmlNotice - Golden Elephant Glass Technology, Inc., and Pacific Alliance Corp.; Order of Suspension of Trading2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30473Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30473.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30274.htmlNotice - Proposed Collection; Comment Request2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30274Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30274.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30273.htmlNotice - Proposed Collection; Comment Request2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30273Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30273.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30272.htmlNotice - Catalyst Capital Advisors LLC and Mutual Fund Series Trust; Notice of Application2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30272.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30271.htmlNotice - 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 Electronically2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30271.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30270.htmlNotice - 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 Electronically2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30270.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30269.htmlNotice - 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 Index2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30269Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30269.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30268.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the Governance Committee Charter2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30268Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30268.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30267.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30267Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30267.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30266.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30266Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30266.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30265.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Relating to the Quarterly Option Series Program2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30265Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30265.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/20/2013-30264.htmlNotice - 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 Program2013-12-20T00:00:00-08:002013-12-20T00:00:00-08:002013-30264Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-20/pdf/2013-30264.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30182.htmlNotice - Wells Fargo Funds Trust, et al.; Notice of Application2013-12-19T00:00:00-08:002013-12-19T00:00:00-08:002013-30182Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30182.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30181.htmlNotice - 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 Orders2013-12-19T00:00:00-08:002013-12-19T00:00:00-08:002013-30181Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30181.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30180.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-12-19T00:00:00-08:002013-12-19T00:00:00-08:002013-30180Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30180.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30179.htmlNotice - 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 8.6002013-12-19T00:00:00-08:002013-12-19T00:00:00-08:002013-30179Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30179.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/19/2013-30178.htmlNotice - Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-12-19T00:00:00-08:002013-12-19T00:00:00-08:002013-30178Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-19/pdf/2013-30178.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30213.htmlNotice - Sunshine Act Meeting2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30213.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30089.htmlNotice - 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 Options2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30089Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30089.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30051.htmlNotice - Proposed Collection; Comment Request2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30051Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30051.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30050.htmlNotice - 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 8.6002013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30050Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30050.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30049.htmlNotice - 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 14082013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30049Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30049.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30048.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Pricing Schedule2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30048Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30048.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30047.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30047Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30047.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30046.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.12, Limitations of Liability2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30046Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30046.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30045.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.12, Limitations of Liability2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30045Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30045.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30044.htmlNotice - 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)2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30044Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30044.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30043.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30043Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30043.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30042.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30042.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30041.htmlNotice - 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 Type2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30041.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30040.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30040.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/18/2013-30039.htmlNotice - 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 More2013-12-18T00:00:00-08:002013-12-18T00:00:00-08:002013-30039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-18/pdf/2013-30039.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-30068.htmlNotice - Makism3D Corp.; Order of Suspension of Trading2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-30068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-30068.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-30053.htmlNotice - Sunshine Act Meeting2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-30053Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-30053.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-30052.htmlNotice - Sunshine Act Meeting2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-30052Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-30052.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29961.htmlNotice - Self-Regulatory Organizations; Topaz Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29961Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29961.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29960.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29960Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29960.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29902.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29902Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29902.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29901.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29901Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29901.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29900.htmlNotice - 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 LLC2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29900.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29899.htmlNotice - 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 LLC2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29899Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29899.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29898.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Modifications to Fees and Credits Under Rules 7014 and 70182013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29898Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29898.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29897.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Alternative Display Facility New Entrant2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29897Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29897.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29896.htmlNotice - 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.2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29896Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29896.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29895.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29895Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29895.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29894.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29894Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29894.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29893.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Merk Gold Trust Pursuant to NYSE Arca Equities Rule 8.2012013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29893Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29893.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29892.htmlNotice - 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 Environment2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29892Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29892.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29891.htmlNotice - 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 Environment2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29891Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29891.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29890.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Short Term Option Series Program2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29890Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29890.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29889.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Short Term Option Series Program2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29889Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29889.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/17/2013-29888.htmlNotice - 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 Rules2013-12-17T00:00:00-08:002013-12-17T00:00:00-08:002013-29888Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-17/pdf/2013-29888.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29903.htmlNotice - Sunshine Act Meeting2013-12-16T00:00:00-08:002013-12-16T00:00:00-08:002013-29903Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29903.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29802.htmlNotice - 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 Members2013-12-16T00:00:00-08:002013-12-16T00:00:00-08:002013-29802Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29802.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29780.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Governance Committee Charter2013-12-16T00:00:00-08:002013-12-16T00:00:00-08:002013-29780Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29780.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29764.htmlNotice - Submission for OMB Review; Comment Request2013-12-16T00:00:00-08:002013-12-16T00:00:00-08:002013-29764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29764.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/16/2013-29763.htmlNotice - Submission for OMB Review; Comment Request2013-12-16T00:00:00-08:002013-12-16T00:00:00-08:002013-29763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-16/pdf/2013-29763.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/13/2013-29741.htmlNotice - 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 Manual2013-12-13T00:00:00-08:002013-12-13T00:00:00-08:002013-29741Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-13/pdf/2013-29741.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/13/2013-29740.htmlNotice - 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 Options2013-12-13T00:00:00-08:002013-12-13T00:00:00-08:002013-29740Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-13/pdf/2013-29740.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/13/2013-29739.htmlNotice - 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)2013-12-13T00:00:00-08:002013-12-13T00:00:00-08:002013-29739Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-13/pdf/2013-29739.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29625.htmlNotice - Minnesota Life Insurance Company, et al.; Notice of Application2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29625Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29625.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29624.htmlNotice - 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 Halt2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29624Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29624.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29623.htmlNotice - 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 LLC2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29623Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29623.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29622.htmlNotice - 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 LLC2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29622Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29622.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29621.htmlNotice - 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 Committee2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29621Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29621.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29620.htmlNotice - 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 Act2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29620Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29620.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29619.htmlNotice - 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. Companies2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29619Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29619.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29618.htmlNotice - 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 Limits2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29618Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29618.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29617.htmlNotice - 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.2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29617Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29617.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29616.htmlNotice - 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.2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29616Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29616.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29615.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Raise the Take Liquidity Fee for Lead Market Maker and Market Maker Electronic Executions in Penny Pilot Issues2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29615Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29615.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29614.htmlNotice - 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 Cap2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29614Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29614.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29611.htmlNotice - 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.2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29611Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29611.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29610.htmlNotice - 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.2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29610Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29610.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29609.htmlNotice - 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.2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29609.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29608.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29608.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29607.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29607.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29606.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29606.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/12/2013-29605.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee2013-12-12T00:00:00-08:002013-12-12T00:00:00-08:002013-29605Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-12/pdf/2013-29605.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29551.htmlNotice - 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 Program2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29551.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29550.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of Proposed Rule Change Regarding the Short Term Options Program2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29550.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29501.htmlNotice - Proposed Collection; Comment Request2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29501Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29501.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29500.htmlNotice - Proposed Collection; Comment Request2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29500Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29500.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29499.htmlNotice - American Beacon Funds, et al.; Notice of Application2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29499Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29499.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29498.htmlNotice - 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 Needs2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29498Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29498.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29497.htmlNotice - 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 Needs2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29497Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29497.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29496.htmlNotice - 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, 20142013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29496.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29495.htmlNotice - 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, 20142013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29495.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29494.htmlNotice - 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)2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29494.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29493.htmlNotice - 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 Modifiers2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29493.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29492.htmlNotice - 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 8.6002013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29492Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29492.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29491.htmlNotice - 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 8.6002013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29491Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29491.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29490.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 4022013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29490Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29490.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29489.htmlNotice - 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 Options2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29489Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29489.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/11/2013-29488.htmlNotice - 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 Document2013-12-11T00:00:00-08:002013-12-11T00:00:00-08:002013-29488Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-11/pdf/2013-29488.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29529.htmlNotice - Guar Global Ltd.; Order of Suspension of Trading2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29529.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29528.htmlNotice - Aden Solutions, Inc.; Order of Suspension of Trading2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29528.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29474.htmlNotice - Sunshine Act Meeting2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29474Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29474.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29387.htmlNotice - Compass Efficient Model Portfolios, LLC, et al.; Notice of Application2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29387Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29387.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29386.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the iShares Liquidity Income Fund2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29386.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29385.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29385.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29384.htmlNotice - 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 Center2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29384.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29383.htmlNotice - 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 Center2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29383Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29383.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29382.htmlNotice - 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 Center2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29382Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29382.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29381.htmlNotice - 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 Process2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29381Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29381.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/10/2013-29380.htmlNotice - 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 Process2013-12-10T00:00:00-08:002013-12-10T00:00:00-08:002013-29380Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-10/pdf/2013-29380.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29416.htmlNotice - 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 Trading2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29416Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29416.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29280.htmlNotice - 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 Trading2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29280Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29280.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29278.htmlNotice - Community Alliance, Inc., Defi Global, Inc., Easy Energy, Inc., Industry Concept Holdings, Inc., and Transworld Benefits International, Inc.; Order of Suspension of Trading2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29278Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29278.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29263.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29263Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29263.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29262.htmlNotice - 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 Companies2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29262Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29262.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29261.htmlNotice - 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 ETF2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29261.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29260.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate Program2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29260.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29259.htmlNotice - 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 ETF2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29259.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29258.htmlNotice - 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 ETF2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29258Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29258.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/09/2013-29257.htmlNotice - 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)2013-12-09T00:00:00-08:002013-12-09T00:00:00-08:002013-29257Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29257.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/06/2013-29117.htmlNotice - VTL Associates, LLC, et al.; Notice of Application2013-12-06T00:00:00-08:002013-12-06T00:00:00-08:002013-29117Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-06/pdf/2013-29117.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/06/2013-29092.htmlNotice - 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 Exchange2013-12-06T00:00:00-08:002013-12-06T00:00:00-08:002013-29092Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-06/pdf/2013-29092.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/05/2013-29043.htmlNotice - 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 Changes2013-12-05T00:00:00-08:002013-12-05T00:00:00-08:002013-29043Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-05/pdf/2013-29043.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/05/2013-29042.htmlNotice - 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 Changes2013-12-05T00:00:00-08:002013-12-05T00:00:00-08:002013-29042Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-05/pdf/2013-29042.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/05/2013-29041.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Multi-Class Spread Orders2013-12-05T00:00:00-08:002013-12-05T00:00:00-08:002013-29041Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-05/pdf/2013-29041.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28977.htmlNotice - Proposed Collection; Comment Request2013-12-04T00:00:00-08:002013-12-04T00:00:00-08:002013-28977Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28977.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28976.htmlNotice - 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. 22013-12-04T00:00:00-08:002013-12-04T00:00:00-08:002013-28976Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28976.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28975.htmlNotice - 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)2013-12-04T00:00:00-08:002013-12-04T00:00:00-08:002013-28975Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28975.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28973.htmlNotice - 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 Order2013-12-04T00:00:00-08:002013-12-04T00:00:00-08:002013-28973Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28973.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28972.htmlNotice - 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 Order2013-12-04T00:00:00-08:002013-12-04T00:00:00-08:002013-28972Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28972.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28971.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Under NYSE Arca Equities Rule 8.600 Shares of Nine Series of the IndexIQ Active ETF Trust2013-12-04T00:00:00-08:002013-12-04T00:00:00-08:002013-28971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28971.pdfhttps://regulations.justia.com/regulations/fedreg/2013/12/04/2013-28970.htmlNotice - 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.2013-12-04T00:00:00-08:002013-12-04T00:00:00-08:002013-28970Noticehttp://www.gpo.gov/fdsys/pkg/FR-2013-12-04/pdf/2013-28970.pdf