<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[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/2012/04?registers=between&min-day=1&max-day=30 Wed, 22 May 2024 21:17:29 -0700 Wed, 22 May 2024 21:17:29 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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/2012/04?registers=between&min-day=1&max-day=30 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10512.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10512.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10512 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10512.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Relating To Remove Functionality in the Government Securities Division's Rules That Is No Longer Utilized by Participants https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10308.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10308.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10308 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10308.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change to Provide for a T+1 Settlement of the Initial Payment Related to the CDS Contracts Cleared by ICE Clear Credit LLC https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10307.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10307.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10307 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10307.pdf Notice - Northern Trust Investments, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10299.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10299.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10299 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10299.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10291.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10291.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10291 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10291.pdf Notice - GPS Funds I, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10290.html https://regulations.justia.com/regulations/fedreg/2012/04/30/2012-10290.html Mon, 30 Apr 2012 00:00:00 -0700 2012-10290 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10290.pdf Notice - Praxis Mutual Funds and Everence Community Investments, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10180.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10180.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10180 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10180.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF and BONO Port Fees and Account Fees https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10160.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10160.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10160 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10160.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding Clearing Member Anti-Money Laundering Programs https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10159.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10159.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10159 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10159.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Huntington US Equity Rotation Strategy ETF and Huntington EcoLogical Strategy ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10158.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10158.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10158 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10158.pdf Notice - Advisors Series Trust and Orinda Asset Management, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10157.html https://regulations.justia.com/regulations/fedreg/2012/04/27/2012-10157.html Fri, 27 Apr 2012 00:00:00 -0700 2012-10157 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-27/pdf/2012-10157.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Revised DCO Rules https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10028.html https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10028.html Thu, 26 Apr 2012 00:00:00 -0700 2012-10028 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-26/pdf/2012-10028.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX Phlx LLC; Order Approving Proposed Rule Change To Amend Registration, Qualification, and Continuing Education Requirements for Associated Persons https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10027.html https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10027.html Thu, 26 Apr 2012 00:00:00 -0700 2012-10027 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-26/pdf/2012-10027.pdf Notice - Order Temporarily Exempting Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934 and Granting an Exemption for Certain Securities Transactions https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10026.html https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10026.html Thu, 26 Apr 2012 00:00:00 -0700 2012-10026 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-26/pdf/2012-10026.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10025.html https://regulations.justia.com/regulations/fedreg/2012/04/26/2012-10025.html Thu, 26 Apr 2012 00:00:00 -0700 2012-10025 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-26/pdf/2012-10025.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31 To Specify How the Immediate-or-Cancel Time-in-Force Instructions Are Applicable to an MPL Order https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9969.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9969.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9969 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9969.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9938.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9938.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9938 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9938.pdf Notice - Proposed Extension of Existing Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9937.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9937.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9937 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9937.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX Exchange, Inc.; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change Relating to a Corporate Transaction in Which SIX Swiss Exchange AG Will Transfer Its Interest in ISE Holdings, Inc. to a Newly Formed Swiss Corporation, Eurex Global Derivatives AG https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9929.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9929.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9929 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9929.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9840.html https://regulations.justia.com/regulations/fedreg/2012/04/25/2012-9840.html Wed, 25 Apr 2012 00:00:00 -0700 2012-9840 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-25/pdf/2012-9840.pdf Notice - Sunshine Act Meeting; Notice https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9933.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9933.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9933 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9933.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, To Adopt an Alternative to the $4 Per Share Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 Closing Price Per Share or $3 Closing Price Per Share, if Certain Other Listing Requirements are Met https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9795.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9795.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9795 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9795.pdf Notice - Beverly Hills Bancorp Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9772.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9772.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9772 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9772.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9771.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9771.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9771 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9771.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule To Provide That One Hundred Percent (100%) of the Initial Margin Requirement for Client-Related Positions Cleared in a Clearing Participant's Customer Account Origin May Be Satisfied by a Clearing Participant Utilizing US Treasuries https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9769.html https://regulations.justia.com/regulations/fedreg/2012/04/24/2012-9769.html Tue, 24 Apr 2012 00:00:00 -0700 2012-9769 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-24/pdf/2012-9769.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Peritus High Yield ETF https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9663.html https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9663.html Mon, 23 Apr 2012 00:00:00 -0700 2012-9663 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-23/pdf/2012-9663.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending NYSE Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market Makers at the Exchange https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9629.html https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9629.html Mon, 23 Apr 2012 00:00:00 -0700 2012-9629 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-23/pdf/2012-9629.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending NYSE Amex Equities Rule 107B To Add a Class of Supplemental Liquidity Providers That Are Registered as Market Makers at the Exchange https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9628.html https://regulations.justia.com/regulations/fedreg/2012/04/23/2012-9628.html Mon, 23 Apr 2012 00:00:00 -0700 2012-9628 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-23/pdf/2012-9628.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9593.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9593.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9593 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9593.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9529.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9529.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9529 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9529.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9528.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9528.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9528 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9528.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Facilitate Changing its Methodology for Calculation of the “Cash Mark-to-Market” Performance Bonds for Cleared OTC FX Swaps From SPAN® to HVaR https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9527.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9527.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9527 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9527.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9526.html https://regulations.justia.com/regulations/fedreg/2012/04/20/2012-9526.html Fri, 20 Apr 2012 00:00:00 -0700 2012-9526 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-20/pdf/2012-9526.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9525.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9525.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9525 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9525.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9417.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9417.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9417 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9417.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9416.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9416.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9416 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9416.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9415.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9415.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9415 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9415.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9414.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9414.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9414 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9414.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9413.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9413.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9413 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9413.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9412.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9412.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9412 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9412.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9411.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9411.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9411 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9411.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(t) To Provide for Limit-on-Open Orders and Market-on-Open Orders https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9410.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9410.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9410 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9410.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(4) To Make Passive Liquidity Orders in Exchange-Listed Securities Available to All Users, Regardless of Whether a Lead Market Maker Is Assigned to the Security https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9409.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9409.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9409 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9409.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval of a Proposed Rule Change Amending NYSE Amex Rule 476A To Update Its “List of Equities Rule Violations and Fines Applicable Thereto” https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9408.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9408.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9408 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9408.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1014 https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9407.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9407.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9407 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9407.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Option Fees https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9406.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9406.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9406 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9406.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9405.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9405.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9405 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9405.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9404.html https://regulations.justia.com/regulations/fedreg/2012/04/19/2012-9404.html Thu, 19 Apr 2012 00:00:00 -0700 2012-9404 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-19/pdf/2012-9404.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change To Amend BATS Exchange, Inc. Rule 2.12 To Make Permanent the Pilot Program That Permits BATS Exchange, Inc. To Receive Inbound Routes of Equities Orders Through BATS Trading, Inc., BATS Exchange's Routing Broker-Dealer, From BATS-Y Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9342.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9342.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9342 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9342.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Approving a Proposed Rule Change To Amend BATS Y-Exchange, Inc. Rule 2.12 to Make Permanent the Pilot Program That Permits BATS Y-Exchange, Inc. To Receive Inbound Routes of Equities Orders Through BATS Trading, Inc., BATS Y-Exchange's Routing Broker-Dealer, From BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9341.html https://regulations.justia.com/regulations/fedreg/2012/04/18/2012-9341.html Wed, 18 Apr 2012 00:00:00 -0700 2012-9341 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-04-18/pdf/2012-9341.pdf