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Topaz Exchange Rulemaking Archive: 2013
We encourage the public to submit comments on the following Topaz Exchange, LLC, filings during the comment period. For detailed instructions, please read
How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Fourth Quarter |
Third Quarter
Topaz File Number List for 2013
Additional Archives
2014 | 2013
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-Topaz-2013-20 |
| 34-71209 |
Dec. 31, 2013 |
Notice of Filing of Proposed Rule Change to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
Comments due: January 28, 2014
Additional Materials: Exhibit 5
See also: Notice: Rel. Nos. 34-71562 and 34-71862
|
SR-Topaz-2013-19 |
|
34-71181A |
Dec. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to More Specifically Address the Number and Size of Contra-parties to a Qualified Contingent Cross Order; Correction
Comments due: 21 days after publication in the Federal Register
|
SR-Topaz-2013-19 |
|
34-71181 |
Dec. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to More Specifically Address the Number and Size of Contra-parties to a Qualified Contingent Cross Order
Comments due: January 21, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-21 |
|
34-71141 |
Dec. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 16, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-16 |
|
34-71149 |
Dec. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: January 16, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-17 |
|
34-71087 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Data Offerings
Comments due: January 13, 2014
|
SR-Topaz-2013-14 |
|
34-71077 |
Dec. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: January 9, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-13 |
|
34-71074 |
Dec. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: January 9, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-12 |
|
34-71054 |
Dec. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: January 7, 2014
|
SR-Topaz-2013-11 |
|
34-70885 |
Nov. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Treatment of Certain Stop Orders During a Limit State or Straddle State
Comments due: December 12, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-10 |
|
34-70830 |
Nov. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Trading Days and Hours of Business and Trading Halts
Comments due: December 5, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-09 |
|
34-70761 |
Oct. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: November 22, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-08 |
|
34-70670 |
Oct. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: November 12, 2013
|
| Third Quarter |
SR-Topaz-2013-06 |
|
34-70644 |
Oct. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-07 |
|
34-70643 |
Oct. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-05 |
|
34-70636 |
Oct. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to PIM and Penny Pilot Periods
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-04 |
|
34-70426 |
Sep. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees
Comments due: October 15, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-03 |
|
34-70296 |
Aug. 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: September 27, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-01 |
|
34-70200 |
Aug. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Schedule of Fees
Comments due: September 10, 2013
Additional Materials:
Exhibit 5
|
| Topax File Number List for 2013 |
| Release No. |
Date |
Details |
SR-Topaz-2013-21 |
|
34-71141 |
Dec. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 16, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-20 |
| 34-71862 |
Apr. 3, 2014 |
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
See also: Notice: Rel. No. 34-71562, Notice: Rel. No. 34-71209
|
|
34-71562 |
Feb. 18, 2014 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
See also:
Notice: Rel. No. 34-71209
|
|
34-71209 |
Dec. 31, 2013 |
Notice of Filing of Proposed Rule Change to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
Comments due: January 28, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-19 |
|
34-71181A |
Dec. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to More Specifically Address the Number and Size of Contra-parties to a Qualified Contingent Cross Order; Correction
Comments due: 21 days after publication in the Federal Register
See also:
Notice: Rel. No. 34-71181
|
|
34-71181 |
Dec. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to More Specifically Address the Number and Size of Contra-parties to a Qualified Contingent Cross Order
Comments due: January 21, 2014
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-71181A
|
SR-Topaz-2013-18 |
|
34-71229 |
Jan. 2, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Non-Controversial Changes to its Rules
Comments due: January 29, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-17 |
|
34-71087 |
Dec. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Data Offerings
Comments due: January 13, 2014
|
SR-Topaz-2013-16 |
|
34-71149 |
Dec. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: January 16, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-14 |
|
34-71077 |
Dec. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: January 9, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-13 |
|
34-71074 |
Dec. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: January 9, 2014
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-12 |
|
34-71054 |
Dec. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: January 7, 2014
|
SR-Topaz-2013-11 |
|
34-70885 |
Nov. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Treatment of Certain Stop Orders During a Limit State or Straddle State
Comments due: December 12, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-10 |
|
34-70830 |
Nov. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange Trading Days and Hours of Business and Trading Halts
Comments due: December 5, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-09 |
|
34-70761 |
Oct. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: November 22, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-08 |
|
34-70670 |
Oct. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: November 12, 2013
|
SR-Topaz-2013-07 |
|
34-70643 |
Oct. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-06 |
|
34-70644 |
Oct. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-05 |
|
34-70636 |
Oct. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to PIM and Penny Pilot Periods
Comments due: November 12, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-04 |
|
34-70426 |
Sep. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees
Comments due: October 15, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-03 |
|
34-70296 |
Aug. 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: September 27, 2013
Additional Materials:
Exhibit 5
|
SR-Topaz-2013-01 |
|
34-70200 |
Aug. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Schedule of Fees
Comments due: September 10, 2013
Additional Materials:
Exhibit 5
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http://www.sec.gov/rules/sro/topaz/topazarchive/topazarchive2013.shtml
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