Securities and Exchange Commission 2013 – Federal Register Recent Federal Regulation Documents

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ACS Wireless, Inc.; Notice of Application
Document Number: C1-2013-15658
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/16/C1-2013-15658.html
Sunshine Act Meeting
Document Number: 2013-17100
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-17100.html
Retail Foreign Exchange Transactions
Document Number: 2013-17015
Type: Rule
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting a rule to permit a registered broker-dealer to engage in a retail forex business, provided that the broker-dealer complies with the Securities Exchange Act of 1934, the rules and regulations thereunder, and the rules of the self-regulatory organization(s) of which the broker-dealer is a member insofar as they are applicable to retail forex transactions. The Commission is adopting Rule 15b12-1 substantially in the form previously adopted as an interim final temporary rule and is providing that the rule will expire on July 31, 2016.
https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-17015.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Series 55 Examination Program
Document Number: 2013-17014
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-17014.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 3120 (Position Limits) and BOX Rule 3130 (Exemptions from Position Limits)
Document Number: 2013-17013
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-17013.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Several NYSE Rules To Reflect Changes to Rules and Adopt Guidance of the Financial Industry Regulatory Authority
Document Number: 2013-16936
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16936.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Section I Pricing for Select Symbols
Document Number: 2013-16935
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16935.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Change to Interest Rate Swap Margin Calculation Parameters
Document Number: 2013-16934
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16934.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 6.42
Document Number: 2013-16933
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16933.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Interest Rate Swap Clearing Changes
Document Number: 2013-16932
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/16/2013-16932.html
Sunshine Act Meeting.
Document Number: 2013-16937
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16937.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice in Connection With a Proposed Change to its Operations in the Form of a Private Offering by OCC of Senior Unsecured Debt Securities
Document Number: 2013-16864
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16864.html
Submission for OMB Review; Comment Request
Document Number: 2013-16859
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16859.html
FlexShares Trust, et al.; Notice of Application
Document Number: 2013-16858
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16858.html
NGAM Advisors, LP, et al.; Notice of Application
Document Number: 2013-16856
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16856.html
Bridge Builder Trust and Olive Street Investment Advisers, LLC; Notice of Application
Document Number: 2013-16855
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16855.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 2 to an Advance Notice, as Previously Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs
Document Number: 2013-16821
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16821.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rules 504 and 509-Equities With Respect to DMM Quoting Requirements Applicable to Nasdaq Stock Market Securities Traded on the Exchange Pursuant to A Grant of Unlisted Trading Privileges
Document Number: 2013-16820
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16820.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Previously Modified by Amendment No. 1, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs
Document Number: 2013-16819
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16819.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rule 6.53(u), Relating to Qualified Contingent Cross Orders
Document Number: 2013-16818
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16818.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Priority Customer Rebate Program
Document Number: 2013-16817
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/15/2013-16817.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee and Rebate Schedule
Document Number: 2013-16749
Type: Notice
Date: 2013-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/12/2013-16749.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund
Document Number: 2013-16689
Type: Notice
Date: 2013-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/12/2013-16689.html
Privacy Act of 1974: Systems of Records
Document Number: 2013-16681
Type: Notice
Date: 2013-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to revise two existing systems of records: ``Freedom of Information and Privacy Act Requests (SEC-24)'' and ``Backup Care Employee and Family Records (SEC-66)'', both of which were last published in the Federal Register Volume 77, Number 211 on Wednesday, October 31, 2012.
https://regulations.justia.com/regulations/fedreg/2013/07/12/2013-16681.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extending FLEX AIM Pilot Program Until July 18, 2014
Document Number: 2013-16589
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16589.html
Citadel LLC (Formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application
Document Number: 2013-16537
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16537.html
BofA Funds Series Trust, et al., Notice of Application
Document Number: 2013-16536
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16536.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Impose Fees for Market Data
Document Number: 2013-16535
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16535.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Impose Fees for Market Data
Document Number: 2013-16534
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16534.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Correction of a Typographical Error in Rule 6.15.08
Document Number: 2013-16533
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16533.html
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.
Document Number: 2013-16532
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16532.html
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.
Document Number: 2013-16531
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16531.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Option Rebates To Add Liquidity
Document Number: 2013-16530
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16530.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness to Conform Rule 5705 Governing Exchange Traded Funds to the Listing Requirements of Another Market
Document Number: 2013-16529
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16529.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Standards for Certain Securities
Document Number: 2013-16528
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/10/2013-16528.html
Sunshine Act Meeting
Document Number: 2013-16538
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16538.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Add Greater Specificity Related to the Applicable “Tier 3” Supplemental Liquidity Provider Rate and the Member Organization Tier 1 and Tier 2 Adding Credit Rates
Document Number: 2013-16480
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16480.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Modify the Credits for Certain Mid-Point Passive Liquidity Orders, Add Two New Tiers Applicable to Transactions in Tape B Securities, Add a Pricing Tier Applicable to Orders of ETP Holders for Tape A and Tape C Securities That Are Eligible To Be Routed Away From the Exchange, and Modify the Equity Threshold Applicable to the Cross-Asset Tier
Document Number: 2013-16479
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16479.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice To Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Document Number: 2013-16477
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16477.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Acceptable Complex Execution Parameter
Document Number: 2013-16476
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16476.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 965NY, Which Governs NDX and RUT Combination Orders
Document Number: 2013-16384
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16384.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 1012 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Document Number: 2013-16383
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16383.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of Shares of the PowerShares China A-Share Portfolio Under NYSE Arca Equities Rule 8.600
Document Number: 2013-16382
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16382.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange Fee Schedule To Update and Clarify Certain Fees Assessed Under Section V (Technology Fees)
Document Number: 2013-16381
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16381.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule
Document Number: 2013-16380
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16380.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection With OCC Cleared Over-the-Counter Options
Document Number: 2013-16379
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16379.html
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
Document Number: 2013-16378
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16378.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of iShares Dow Jones-UBS Roll Select Commodity Index Trust Pursuant to NYSE Arca Equities Rule 8.200
Document Number: 2013-16377
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16377.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Document Number: 2013-16376
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16376.html
Submission for OMB Review; Comment Request
Document Number: 2013-16367
Type: Notice
Date: 2013-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/07/09/2013-16367.html
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