Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2012/01?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-20T11:40:44-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-2161.html Notice - In the Matter of Airbee Wireless, Inc., Axial Vector Engine Corp. (n/k/a Avec Corporation), and Exploration Drilling International, Inc.; Order of Suspension of Trading 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-2161 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-2161.pdf https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-2160.html Notice - Onyx Service & Solutions, Inc.; Order of Suspension of Trading 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-2160 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-2160.pdf https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-2126.html Notice - Sunshine Act Meeting 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-2126 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-2126.pdf https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-2037.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Option Series Program 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-2037 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-2037.pdf https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-2036.html Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex Options Rule 902NY To Create a Reserve Floor Market Maker Amex Trading Permit 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-2036 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-2036.pdf https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-2022.html Notice - BOX Options Exchange LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-2022 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-2022.pdf https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-2021.html Notice - Order Granting Application by BOX Options Exchange LLC for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-2021 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-2021.pdf https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-1987.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Complex Order Processing in Hybrid 3.0 Classes 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-1987 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-1987.pdf https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-1986.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Legging Orders 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-1986 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-1986.pdf https://regulations.justia.com/regulations/fedreg/2012/01/31/2012-1978.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules To Extend Pilot Program Regarding Trading Pauses in Individual Securities Due to Extraordinary Market Volatility 2012-01-31T00:00:00-08:00 2012-01-31T00:00:00-08:00 2012-1978 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-31/pdf/2012-1978.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-2034.html Notice - Sunshine Act Meeting 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-2034 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-2034.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1941.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish an NYBX Immediate-or-Cancel Order 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1941 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1941.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1918.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Granting Approval of Proposed Rule Change Amending EDGA Rule 11.9 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1918 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1918.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1917.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program Until July 31, 2012 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1917 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1917.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1916.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.14 To Extend the Operation of the Single Stock Circuit Breaker Pilot Program Until July 31, 2012 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1916 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1916.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1893.html Notice - Incapital LLC and Incapital Unit Trust; Notice of Application 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1893 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1893.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1892.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rule 5730 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1892 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1892.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1890.html Notice - GE Asset Management Incorporated, et al.; Notice of Application and Temporary Order 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1890 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1890.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1886.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1886 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1886.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1885.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1885 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1885.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1884.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of Amendments to the Clearly Erroneous Rule 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1884 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1884.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1883.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13 To Extend the Operation of a Pilot Program Pursuant to the Rule Until July 31, 2012 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1883 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1883.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1882.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.13 To Extend the Operation of a Pilot Program Pursuant to the Rule Until July 31, 2012 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1882 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1882.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1881.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend Pilot Program Regarding Clearly Erroneous Executions 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1881 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1881.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1880.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 To Amend FINRA Rule 4560 (Short-Interest Reporting) 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1880 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1880.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1870.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Other Than Rights and Warrants 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1870 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1870.pdf https://regulations.justia.com/regulations/fedreg/2012/01/30/2012-1869.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Appointments in Hybrid 3.0 Classes 2012-01-30T00:00:00-08:00 2012-01-30T00:00:00-08:00 2012-1869 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-30/pdf/2012-1869.pdf https://regulations.justia.com/regulations/fedreg/2012/01/27/2012-1903.html Notice - In the Matter of Tornado Gold International Corp., Twin Faces East Entertainment Corp., Universal Ice Blast, Inc., US Farms, Inc., US Microbics, Inc., and Visitel Network (a/k/a PRG Group, Inc.); Order of Suspension of Trading 2012-01-27T00:00:00-08:00 2012-01-27T00:00:00-08:00 2012-1903 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-27/pdf/2012-1903.pdf https://regulations.justia.com/regulations/fedreg/2012/01/27/2012-1742.html Notice - Submission for OMB Review; Comment Request 2012-01-27T00:00:00-08:00 2012-01-27T00:00:00-08:00 2012-1742 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-27/pdf/2012-1742.pdf https://regulations.justia.com/regulations/fedreg/2012/01/27/2012-1741.html Notice - Submission for OMB Review; Comment Request 2012-01-27T00:00:00-08:00 2012-01-27T00:00:00-08:00 2012-1741 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-27/pdf/2012-1741.pdf https://regulations.justia.com/regulations/fedreg/2012/01/27/2012-1740.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Other Than Rights and Warrants 2012-01-27T00:00:00-08:00 2012-01-27T00:00:00-08:00 2012-1740 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-27/pdf/2012-1740.pdf https://regulations.justia.com/regulations/fedreg/2012/01/27/2012-1739.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period of the Trading Pause for NMS Stocks Other Than Rights and Warrants 2012-01-27T00:00:00-08:00 2012-01-27T00:00:00-08:00 2012-1739 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-27/pdf/2012-1739.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1628.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Order Price Check Parameter Features 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1628 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1628.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1627.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Automatic Execution and Complex Order Price Check Parameter Features 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1627 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1627.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1617.html Notice - Submission for OMB Review; Comment Request 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1617 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1617.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1589.html Notice - Submission for OMB Review; Comment Request 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1589 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1589.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1588.html Notice - Submission for OMB Review; Comment Request 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1588 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1588.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1587.html Notice - Submission for OMB Review; Comment Request 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1587 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1587.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1585.html Notice - Submission for OMB Review; Comment Request 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1585 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1585.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1584.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reformatting the Fee Schedule 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1584 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1584.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1583.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Real-Time Risk Management Fee and Other Clarifying Amendments 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1583 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1583.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1582.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade the Accuvest Global Opportunities ETF Under NYSE Arca Equities Rule 8.600 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1582 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1582.pdf https://regulations.justia.com/regulations/fedreg/2012/01/26/2012-1581.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook 2012-01-26T00:00:00-08:00 2012-01-26T00:00:00-08:00 2012-1581 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-26/pdf/2012-1581.pdf https://regulations.justia.com/regulations/fedreg/2012/01/25/2012-1522.html Notice - Order Making Fiscal Year 2012 Annual Adjustments to Transaction Fee Rates 2012-01-25T00:00:00-08:00 2012-01-25T00:00:00-08:00 2012-1522 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-25/pdf/2012-1522.pdf https://regulations.justia.com/regulations/fedreg/2012/01/25/2012-1521.html Rule - Covered Securities of Bats Exchange, Inc. 2012-01-25T00:00:00-08:00 2012-01-25T00:00:00-08:00

2012-1521 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-01-25/pdf/2012-1521.pdf https://regulations.justia.com/regulations/fedreg/2012/01/25/2012-1486.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility 2012-01-25T00:00:00-08:00 2012-01-25T00:00:00-08:00 2012-1486 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-25/pdf/2012-1486.pdf https://regulations.justia.com/regulations/fedreg/2012/01/25/2012-1485.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related To Trading Pauses Due to Extraordinary Market Volatility 2012-01-25T00:00:00-08:00 2012-01-25T00:00:00-08:00 2012-1485 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-25/pdf/2012-1485.pdf https://regulations.justia.com/regulations/fedreg/2012/01/25/2012-1484.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Clearly Erroneous Execution Reviews 2012-01-25T00:00:00-08:00 2012-01-25T00:00:00-08:00 2012-1484 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-25/pdf/2012-1484.pdf https://regulations.justia.com/regulations/fedreg/2012/01/25/2012-1483.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to Clearly Erroneous Execution Reviews 2012-01-25T00:00:00-08:00 2012-01-25T00:00:00-08:00 2012-1483 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-25/pdf/2012-1483.pdf https://regulations.justia.com/regulations/fedreg/2012/01/25/2012-1482.html Notice - New York Life Insurance and Annuity Corporation, et al., Notice of Application 2012-01-25T00:00:00-08:00 2012-01-25T00:00:00-08:00 2012-1482 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-01-25/pdf/2012-1482.pdf