Agency: Securities and Exchange Commission

Years: 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 20122013

Pages: 12 3 4 5 >»

[FR Doc 2013-07320] 1.Comment Request

Extension:

Rules 6a1 and 6a2, Form 1, SEC File No. 2700017, OMB Control No. 32350017.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of

Published: 2013-03-29 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-07447] 2.Sunshine Act Meeting

A matter relating to an enforcement proceeding.

At times, changes in Commission priorities require alterations in the scheduling of meeting item.

For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 5515400.

Dated: March 26, 2013.

Published: 2013-03-29 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-07316] 3.Self-Regulatory Organizations; Proposed Rule Changes:

I. Introduction

On February 6, 2013, NASDAQ OMX PHLX LLC (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a proposed rule change requesting permanent approval of the Exchange's pilot

Published: 2013-03-29 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-07321] 4.Comment Request

Extension:

Rule 17Ad10, SEC File No. 270265, OMB Control No. 32350273.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in Rule 17Ad10, (17 CFR

Published: 2013-03-29 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-07319] 5.Comment Request

Extension:

Rule 15a4. SEC File No. 2707, OMB Control No. 32350010.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for extension of the previously

Published: 2013-03-29 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-07322] 6.Comment Request

Extension:
Rule 605 of Regulation NMS, SEC File No. 270488, OMB Control No. 32350542.

Published: 2013-03-29 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-07183] 7.Self-Regulatory Organizations; Proposed Rule Changes:

--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange is filing with the Commission a proposal to amend Exchange Rule 3100 to establish rules to comply with the

Published: 2013-03-28 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-07012] 8.Applications:

Published: 2013-03-27 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-07062] 9.Self-Regulatory Organizations; Proposed Rule Changes:

The Exchange is filing a proposal to amend Exchange Rule 530, Limit UpLimit Down (``LULD''), and to amend Exchange Rule

Published: 2013-03-27 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06885] 10.Comment Request

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in Rule 19b4(e) (17 CFR 240.19b4(e)) under the Securities Exchange Act of 1934 (15 U.S.C 78a et seq.) (the

Published: 2013-03-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06789] 11.Self-Regulatory Organizations; Proposed Rule Changes:

--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 68807 (February 1, 2013), 78 FR 9094.
\4\ See letters to Elizabeth M. Murphy, Secretary, Commission, from Peter J. Driscoll, Investment Professional, dated February 14,

Published: 2013-03-26 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06928] 12.Sunshine Act Meetings

Institution and settlement of injunctive actions;
Institution and settlement of administrative proceedings;

Other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items.

For further information and to ascertain what, if any, matters have been added,

Published: 2013-03-25 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06730] 13.Self-Regulatory Organizations; Proposed Rule Changes:

--------------------------------------------------------------------------- \1\ 15 U.S.C. 78k1.
\2\ 17 CFR 242.608.
\3\ The proposal was originally submitted on January 30, 2013. It was resubmitted on February 5, 2013, February 28, 2013, and on March 11, 2013.
\4\ Each participant executed the proposed amendment. The Participants are:

Published: 2013-03-25 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-05888] 14.Regulation Systems Compliance and Integrity

The Securities and Exchange Commission (``Commission'') is proposing Regulation Systems Compliance and Integrity (``Regulation SCI'') under the Securities Exchange Act of 1934 (``Exchange Act'') and conforming amendments to Regulation ATS under the Exchange Act. Proposed Regulation SCI would apply to certain selfregulatory organizations (including

Published: 2013-03-25 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06639] 15.Applications:

Summary of Application: Applicants request an order to permit openend management investment companies relying on rule 12d12 under the Act to invest in certain financial instruments.
Applicants: Ivy Funds Variable Insurance Portfolios (the ``Trust''), Waddell & Reed Investment Management Company (``WRIMCO''), and Waddell & Reed, Inc. (``W&R'').

Published: 2013-03-22 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06608] 16.Self-Regulatory Organizations; Proposed Rule Changes:

The Exchange proposes to address the manner in which options contracts overlying 10 shares of a security (``Mini

Published: 2013-03-22 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06480] 17.Self-Regulatory Organizations; Proposed Rule Changes:

The Exchange proposes to amend CBOE Stock Exchange, Inc. (``CBSX'') rules to comply with the National Market System Plan

Published: 2013-03-21 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06401] 18.Applications:

Summary of the Application: Applicants request an order that would (a) permit certain registered openend management investment companies that operate as ``funds of funds'' to acquire shares of certain registered openend management investment companies, registered closedend management investment companies, ``business development companies,'' as

Published: 2013-03-20 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06353] 19.Self-Regulatory Organizations; Proposed Rule Changes:

--------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange

Published: 2013-03-20 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06239] 20.Self-Regulatory Organizations; Proposed Rule Changes:

The Exchange proposes to amend its rules related to complex orders. The text of the proposed rule change is also

Published: 2013-03-19 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06119] 21.Applications:

Summary of Application: Applicants request an order that would permit (a) series of certain openend management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain
[[Page 16716]]
series to pay

Published: 2013-03-18 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-06150] 22.Self-Regulatory Organizations; Proposed Rule Changes:

The Exchange proposes to: (i) Adopt new Exchange Rule 1047(f) to provide for how the Exchange proposes to treat orders in

Published: 2013-03-18 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION

[FR Doc 2013-05982] 23.Applications:

Summary of the Application: The requested order would (a) permit certain registered openend management investment companies that operate as ``funds of funds'' to acquire shares of certain registered openend management investment companies and unit investment trusts (``UITs'') that are within and outside the same group of investment companies as

Published: 2013-03-15 SECURITIES AND EXCHANGE COMMISSION : SECURITIES AND EXCHANGE COMMISSION