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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

Chronological List
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

 

http://www.sec.gov/rules/sro/topaz/topazarchive/topazarchive2013.shtml


Modified: 10/16/2014