<![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/2012/05?registers=between&min-day=1&max-day=31 Wed, 01 May 2024 05:24:25 -0700 Wed, 01 May 2024 05:24:25 -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/2012/05?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Clarify the Ability of the Government Securities Division To Use Implied Volatility Indicators as Part of the Volatility Model in Its Clearing Fund Formula https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13150.html https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13150.html Thu, 31 May 2012 00:00:00 -0700 2012-13150 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-31/pdf/2012-13150.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Its Rules To Reflect the Merger of Archipelago Holdings, Inc. (“Archipelago Holdings”), An Intermediate Holding Company, Into and With NYSE Group, Inc. (“NYSE Group”), Thereby Eliminating Archipelago Holdings From the Ownership Structure of the Exchange https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13149.html https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13149.html Thu, 31 May 2012 00:00:00 -0700 2012-13149 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-31/pdf/2012-13149.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Defining a Primary Specialist in Each Options Class and Modifying the Specialist Entitlement Accordingly https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13148.html https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13148.html Thu, 31 May 2012 00:00:00 -0700 2012-13148 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-31/pdf/2012-13148.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Name Change of the C2 Regulatory Oversight Committee https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13147.html https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13147.html Thu, 31 May 2012 00:00:00 -0700 2012-13147 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-31/pdf/2012-13147.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Name Change of the CBOE Regulatory Oversight Committee https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13146.html https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13146.html Thu, 31 May 2012 00:00:00 -0700 2012-13146 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-31/pdf/2012-13146.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of the WisdomTree Brazil Bond Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13145.html https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13145.html Thu, 31 May 2012 00:00:00 -0700 2012-13145 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-31/pdf/2012-13145.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reversal and Conversion Strategies https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13144.html https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13144.html Thu, 31 May 2012 00:00:00 -0700 2012-13144 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-31/pdf/2012-13144.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 616, Electronic Filing Requirements for Uniform Forms https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13085.html https://regulations.justia.com/regulations/fedreg/2012/05/31/2012-13085.html Thu, 31 May 2012 00:00:00 -0700 2012-13085 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-31/pdf/2012-13085.pdf Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2012/05/30/2012-13151.html https://regulations.justia.com/regulations/fedreg/2012/05/30/2012-13151.html Wed, 30 May 2012 00:00:00 -0700 2012-13151 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-30/pdf/2012-13151.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/30/2012-12998.html https://regulations.justia.com/regulations/fedreg/2012/05/30/2012-12998.html Wed, 30 May 2012 00:00:00 -0700 2012-12998 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-30/pdf/2012-12998.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Fees Under Rule 7003(b) and Adopt a New Equities Regulatory Fee https://regulations.justia.com/regulations/fedreg/2012/05/30/2012-12997.html https://regulations.justia.com/regulations/fedreg/2012/05/30/2012-12997.html Wed, 30 May 2012 00:00:00 -0700 2012-12997 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-30/pdf/2012-12997.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of iShares Strategic Beta U.S. Large Cap Fund and iShares Strategic Beta U.S. Small Cap Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/05/30/2012-12996.html https://regulations.justia.com/regulations/fedreg/2012/05/30/2012-12996.html Wed, 30 May 2012 00:00:00 -0700 2012-12996 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-30/pdf/2012-12996.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-13069.html https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-13069.html Tue, 29 May 2012 00:00:00 -0700 2012-13069 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-29/pdf/2012-13069.pdf Notice - In the Matter of Quintek Technologies, Inc., The Saint James Co., Urigen Pharmaceuticals, Inc., Valor Energy Corp., Wherify Wireless, Inc., and WinWin Gaming, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-13015.html https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-13015.html Tue, 29 May 2012 00:00:00 -0700 2012-13015 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-29/pdf/2012-13015.pdf Notice - In the Matter of Indocan Resources, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-13012.html https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-13012.html Tue, 29 May 2012 00:00:00 -0700 2012-13012 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-29/pdf/2012-13012.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Qualification Standards for Market Makers To Receive a Rebate https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-12927.html https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-12927.html Tue, 29 May 2012 00:00:00 -0700 2012-12927 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-29/pdf/2012-12927.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Amending FINRA Rule 14107 of the Code of Mediation Procedure To Provide the Director of Mediation With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA's Mediator Roster https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-12850.html https://regulations.justia.com/regulations/fedreg/2012/05/29/2012-12850.html Tue, 29 May 2012 00:00:00 -0700 2012-12850 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-29/pdf/2012-12850.pdf Notice - In the Matter of Savoy Resources Corp., SNRG Corp., Standard Mobile, Inc., and VTEX Energy, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12899.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12899.html Fri, 25 May 2012 00:00:00 -0700 2012-12899 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12899.pdf Notice - Advisory Committee on Small and Emerging Companies; Meeting https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12800.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12800.html Fri, 25 May 2012 00:00:00 -0700 2012-12800 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12800.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Certificate of Formation, Amended and Restated Operating Agreement, Company Guide, and Rules To Change the Name of the Exchange to NYSE MKT LLC https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12794.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12794.html Fri, 25 May 2012 00:00:00 -0700 2012-12794 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12794.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price To Comply Order https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12793.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12793.html Fri, 25 May 2012 00:00:00 -0700 2012-12793 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12793.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12725.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12725.html Fri, 25 May 2012 00:00:00 -0700 2012-12725 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12725.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12724.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12724.html Fri, 25 May 2012 00:00:00 -0700 2012-12724 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12724.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify a Fee Program Related to Its OTC Interest Rate Swap Clearing Offering https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12723.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12723.html Fri, 25 May 2012 00:00:00 -0700 2012-12723 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12723.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Terminate a Pilot Program Related to an Incentive Plan for Certain Foreign Currency Options Traded on the Exchange and To Make a Technical Change to the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12722.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12722.html Fri, 25 May 2012 00:00:00 -0700 2012-12722 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12722.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security (“Mini-Options Contracts”) and Implement Rule Text Necessary To Distinguish Mini-Options Contracts From Option Contracts Overlying 100 Shares of a Security (“Standard Contracts”) https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12721.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12721.html Fri, 25 May 2012 00:00:00 -0700 2012-12721 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12721.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(pp) To Change the Primary After 3:45 Order to a Primary After 3:55 Order https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12720.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12720.html Fri, 25 May 2012 00:00:00 -0700 2012-12720 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12720.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12719.html https://regulations.justia.com/regulations/fedreg/2012/05/25/2012-12719.html Fri, 25 May 2012 00:00:00 -0700 2012-12719 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-25/pdf/2012-12719.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12795.html https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12795.html Thu, 24 May 2012 00:00:00 -0700 2012-12795 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-24/pdf/2012-12795.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price To Comply Order https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12646.html https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12646.html Thu, 24 May 2012 00:00:00 -0700 2012-12646 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-24/pdf/2012-12646.pdf Notice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change for the NASDAQ Options Market To Accept Inbound Orders From NASDAQ OMX BX's New Options Market https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12620.html https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12620.html Thu, 24 May 2012 00:00:00 -0700 2012-12620 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-24/pdf/2012-12620.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, by NASDAQ OMX PHLX LLC To Accept Inbound Orders From NASDAQ OMX BX's New Options Market https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12619.html https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12619.html Thu, 24 May 2012 00:00:00 -0700 2012-12619 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-24/pdf/2012-12619.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule Relating to Electronic Executions of Posted Customer Liquidity in Penny Pilot Issues https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12618.html https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12618.html Thu, 24 May 2012 00:00:00 -0700 2012-12618 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-24/pdf/2012-12618.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12617.html https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12617.html Thu, 24 May 2012 00:00:00 -0700 2012-12617 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-24/pdf/2012-12617.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Establish the Market Quality Program https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12584.html https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12584.html Thu, 24 May 2012 00:00:00 -0700 2012-12584 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-24/pdf/2012-12584.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and of Proposed Rule Change Relating to Adjustment Panel Voting https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12583.html https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12583.html Thu, 24 May 2012 00:00:00 -0700 2012-12583 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-24/pdf/2012-12583.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change to More Closely Align OCC's By-Laws and Rules With Regulatory Requirements Related to “Statutory Disqualifications” https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12547.html https://regulations.justia.com/regulations/fedreg/2012/05/24/2012-12547.html Thu, 24 May 2012 00:00:00 -0700 2012-12547 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-24/pdf/2012-12547.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change With Respect to the Authority of the Exchange or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12472.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12472.html Wed, 23 May 2012 00:00:00 -0700 2012-12472 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12472.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute an Excess Order Fee https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12452.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12452.html Wed, 23 May 2012 00:00:00 -0700 2012-12452 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12452.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute an Excess Order Fee https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12451.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12451.html Wed, 23 May 2012 00:00:00 -0700 2012-12451 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12451.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12445.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12445.html Wed, 23 May 2012 00:00:00 -0700 2012-12445 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12445.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the BOX Fee Schedule In Effect While BOX Was a Facility of the Exchange https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12444.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12444.html Wed, 23 May 2012 00:00:00 -0700 2012-12444 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12444.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change Relating to Amendments to Rule 2.11 That Establish the Authority To Cancel Orders and Describe the Operation of an Error Account https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12443.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12443.html Wed, 23 May 2012 00:00:00 -0700 2012-12443 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12443.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Order Approving a Proposed Rule Change Relating to Amendments to Rule 2.11 That Establish the Authority To Cancel Orders and Describe the Operation of an Error Account https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12442.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12442.html Wed, 23 May 2012 00:00:00 -0700 2012-12442 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12442.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Grandfathered Rules, BOX Trading Rules, BX By-Laws, BX Rules and Remove the BOXR Operating Agreement and By-Laws https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12441.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12441.html Wed, 23 May 2012 00:00:00 -0700 2012-12441 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12441.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Adoption of a Disaster Recovery Rule https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12440.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12440.html Wed, 23 May 2012 00:00:00 -0700 2012-12440 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12440.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until May 31, 2013 https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12439.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12439.html Wed, 23 May 2012 00:00:00 -0700 2012-12439 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12439.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until May 31, 2013 https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12438.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-12438.html Wed, 23 May 2012 00:00:00 -0700 2012-12438 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-12438.pdf Rule - Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant” https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-10562.html https://regulations.justia.com/regulations/fedreg/2012/05/23/2012-10562.html Wed, 23 May 2012 00:00:00 -0700 2012-10562 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-05-23/pdf/2012-10562.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12528.html https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12528.html Tue, 22 May 2012 00:00:00 -0700 2012-12528 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-22/pdf/2012-12528.pdf Notice - Alderox, Inc., Applied Solar, Inc., Artes Medical, Inc., AskMeNow, Inc., Blink Logic Inc., and Convergence Ethanol, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12482.html https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12482.html Tue, 22 May 2012 00:00:00 -0700 2012-12482 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-22/pdf/2012-12482.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12437.html https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12437.html Tue, 22 May 2012 00:00:00 -0700 2012-12437 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-22/pdf/2012-12437.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading of AdvisorShares Global Echo ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12355.html https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12355.html Tue, 22 May 2012 00:00:00 -0700 2012-12355 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-22/pdf/2012-12355.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the First Trust North American Infrastructure Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12306.html https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12306.html Tue, 22 May 2012 00:00:00 -0700 2012-12306 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-22/pdf/2012-12306.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3.6A-Qualification and Registration of Trading Permit Holders and Associated Persons https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12305.html https://regulations.justia.com/regulations/fedreg/2012/05/22/2012-12305.html Tue, 22 May 2012 00:00:00 -0700 2012-12305 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-22/pdf/2012-12305.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12356.html https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12356.html Mon, 21 May 2012 00:00:00 -0700 2012-12356 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-21/pdf/2012-12356.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01C and 103.01B of the Exchange's Listed Company Manual To Permit the Listing of Emerging Growth Companies on the Basis of Two Years of Reported Financial Data https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12197.html https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12197.html Mon, 21 May 2012 00:00:00 -0700 2012-12197 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-21/pdf/2012-12197.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Direct Market Data Product, PHLX Orders https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12196.html https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12196.html Mon, 21 May 2012 00:00:00 -0700 2012-12196 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-21/pdf/2012-12196.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to PSX Rule 3301(f)(8) Concerning the Processing of the Price To Comply Order https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12195.html https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12195.html Mon, 21 May 2012 00:00:00 -0700 2012-12195 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-21/pdf/2012-12195.pdf Notice - Submission for OMB Review; Comment Requested https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12182.html https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12182.html Mon, 21 May 2012 00:00:00 -0700 2012-12182 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-21/pdf/2012-12182.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Expand the One-Pot Cross-Margining Program With New York Portfolio Clearing, LLC to Certain “Market Professionals” https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12181.html https://regulations.justia.com/regulations/fedreg/2012/05/21/2012-12181.html Mon, 21 May 2012 00:00:00 -0700 2012-12181 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-21/pdf/2012-12181.pdf Notice - In the Matter of QPC Lasers, Inc., Sweet Success Enterprises, Inc., Trinsic, Inc., Veridicom International, Inc., Windswept Environmental Group, Inc., and Wyndstorm Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12208.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12208.html Fri, 18 May 2012 00:00:00 -0700 2012-12208 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12208.pdf Notice - Orbit E-Commerce, Inc., Orion Ethanol, Inc., Pacificnet, Inc., PainCare Holdings, Inc., Pay88, Inc., Rahaxi, Inc., and Raven Biofuels International Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12206.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12206.html Fri, 18 May 2012 00:00:00 -0700 2012-12206 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12206.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether to Disapprove Proposed Rule Changes To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers and To Permit Designated Market Makers and Floor Brokers Access To Disaggregated Order Information https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12058.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12058.html Fri, 18 May 2012 00:00:00 -0700 2012-12058 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12058.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12037.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12037.html Fri, 18 May 2012 00:00:00 -0700 2012-12037 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12037.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols and Equity Options Fees https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12036.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12036.html Fri, 18 May 2012 00:00:00 -0700 2012-12036 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12036.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change Amending Commentary .07 to NYSE Amex Options Rule 904 To Eliminate Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund Which List and Trade Under the Symbol SPY https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12035.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12035.html Fri, 18 May 2012 00:00:00 -0700 2012-12035 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12035.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Establishment of a New Options Market, NASDAQ OMX BX Options https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12034.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12034.html Fri, 18 May 2012 00:00:00 -0700 2012-12034 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12034.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rules Based on the Boston Options Exchange Group, LLC (“BOX Group”) Rules and Recent BOX Group Rule Filings https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12033.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12033.html Fri, 18 May 2012 00:00:00 -0700 2012-12033 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12033.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Fee Schedule For Trading on BOX https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12032.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12032.html Fri, 18 May 2012 00:00:00 -0700 2012-12032 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12032.pdf Notice - Dodd-Frank Investor Advisory Committee https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12031.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12031.html Fri, 18 May 2012 00:00:00 -0700 2012-12031 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12031.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE Amex LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, the BOX Options Exchange LLC, NASDAQ OMX BX, Inc. and the NASDAQ OMX PHLX, Inc. Concerning Options-Related Market Surveillance https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12019.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12019.html Fri, 18 May 2012 00:00:00 -0700 2012-12019 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12019.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12018.html https://regulations.justia.com/regulations/fedreg/2012/05/18/2012-12018.html Fri, 18 May 2012 00:00:00 -0700 2012-12018 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-18/pdf/2012-12018.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-12093.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-12093.html Thu, 17 May 2012 00:00:00 -0700 2012-12093 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-12093.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-12020.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-12020.html Thu, 17 May 2012 00:00:00 -0700 2012-12020 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-12020.pdf Notice - Order of Suspension of Trading; In the Matter of 1-800-ATTORNEY, Inc., et al. https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11962.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11962.html Thu, 17 May 2012 00:00:00 -0700 2012-11962 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11962.pdf Notice - Order Granting Application of BOX Options Exchange, LLC for a Limited Exemption From Exchange Act Rule 10b-10(a)(2)(i)(A) Pursuant to Rule 10b-10(f) https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11931.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11931.html Thu, 17 May 2012 00:00:00 -0700 2012-11931 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11931.pdf Notice - Van Eck VIP Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11930.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11930.html Thu, 17 May 2012 00:00:00 -0700 2012-11930 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11930.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11929.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11929.html Thu, 17 May 2012 00:00:00 -0700 2012-11929 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11929.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating To Listing and Trading the Global Alpha & Beta ETF Pursuant to NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11928.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11928.html Thu, 17 May 2012 00:00:00 -0700 2012-11928 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11928.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish “Benchmark Orders” Under NASDAQ Rule 4751(f) https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11927.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11927.html Thu, 17 May 2012 00:00:00 -0700 2012-11927 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11927.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11926.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11926.html Thu, 17 May 2012 00:00:00 -0700 2012-11926 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11926.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11925.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11925.html Thu, 17 May 2012 00:00:00 -0700 2012-11925 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11925.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add the BOX Options Exchange LLC as a Participant https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11924.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11924.html Thu, 17 May 2012 00:00:00 -0700 2012-11924 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11924.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11916.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11916.html Thu, 17 May 2012 00:00:00 -0700 2012-11916 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11916.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the PHLX Depth of Market Data Product https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11915.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11915.html Thu, 17 May 2012 00:00:00 -0700 2012-11915 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11915.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing a Pilot Program To Create a Lead Market Maker Issuer Incentive Program for Issuers of Certain Exchange-Traded Products Listed on NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11914.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11914.html Thu, 17 May 2012 00:00:00 -0700 2012-11914 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11914.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Equities Rule 5.2(j)(1), the Exchange's “Other Securities” Listing Standard, To Delete a Provision Providing That If a Security Listed Under the Rule Contains Redemption Provisions, the Redemption Price Must Be at Least $3.00 Per Unit https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11913.html https://regulations.justia.com/regulations/fedreg/2012/05/17/2012-11913.html Thu, 17 May 2012 00:00:00 -0700 2012-11913 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-17/pdf/2012-11913.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change With Respect to the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11819.html https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11819.html Wed, 16 May 2012 00:00:00 -0700 2012-11819 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-16/pdf/2012-11819.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend NYSE Arca Equities Rule 7.45 To Address the Authority of NYSE Arca or Archipelago Securities LLC To Cancel Orders When a Technical or Systems Issue Occurs and Describe the Operation of an Error Account for Archipelago Securities https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11797.html https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11797.html Wed, 16 May 2012 00:00:00 -0700 2012-11797 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-16/pdf/2012-11797.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees and Rebates for Complex Orders Executed on the Exchange https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11796.html https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11796.html Wed, 16 May 2012 00:00:00 -0700 2012-11796 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-16/pdf/2012-11796.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees and Rebates for Certain Complex Orders Traded on the Exchange https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11795.html https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11795.html Wed, 16 May 2012 00:00:00 -0700 2012-11795 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-16/pdf/2012-11795.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Equities Price List for Certain Fees Relating To Transactions in Exchange-Listed Securities and Trading Pursuant to Unlisted Trading Privileges of Securities Listed on the Nasdaq Stock Market LLC https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11794.html https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11794.html Wed, 16 May 2012 00:00:00 -0700 2012-11794 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-16/pdf/2012-11794.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Purpose of, and Statutory Basis for, the May 1, 2012 Changes to the NSX Fee and Rebate Schedule https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11793.html https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11793.html Wed, 16 May 2012 00:00:00 -0700 2012-11793 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-16/pdf/2012-11793.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add BOX Options Exchange LLC as a Party Thereto https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11792.html https://regulations.justia.com/regulations/fedreg/2012/05/16/2012-11792.html Wed, 16 May 2012 00:00:00 -0700 2012-11792 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-16/pdf/2012-11792.pdf Notice - Adrenalina, Affinity Technology Group, Inc., Braintech, Inc., Builders Transport, Incorporated, and Catuity, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11701.html https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11701.html Mon, 14 May 2012 00:00:00 -0700 2012-11701 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-14/pdf/2012-11701.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fee Schedule To Make Correction to the Tape A, Tape B, and Tape C Step Up Tiers https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11583.html https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11583.html Mon, 14 May 2012 00:00:00 -0700 2012-11583 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-14/pdf/2012-11583.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 6.35 https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11536.html https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11536.html Mon, 14 May 2012 00:00:00 -0700 2012-11536 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-14/pdf/2012-11536.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Exchange's Co-Location Super High Density Cabinet Monthly Fee https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11535.html https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11535.html Mon, 14 May 2012 00:00:00 -0700 2012-11535 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-14/pdf/2012-11535.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NASDAQ Co-Location Super High Density Cabinet Monthly Fee https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11534.html https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11534.html Mon, 14 May 2012 00:00:00 -0700 2012-11534 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-14/pdf/2012-11534.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change To Amend Rules Related to Credit Default Swap Guaranty Fund Allocations, End-of-Day Pricing Procedures, Daily Submission Deadlines, Holiday Accrual Processing, and the Price Alignment Interest Payment Timeline https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11533.html https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11533.html Mon, 14 May 2012 00:00:00 -0700 2012-11533 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-14/pdf/2012-11533.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to OTC S&P GSCI-ER Swaps Contracts https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11532.html https://regulations.justia.com/regulations/fedreg/2012/05/14/2012-11532.html Mon, 14 May 2012 00:00:00 -0700 2012-11532 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-14/pdf/2012-11532.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11442.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11442.html Thu, 10 May 2012 00:00:00 -0700 2012-11442 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11442.pdf Notice - In the Matter of One Voice Technologies, Inc., Orchestra Therapeutics, Inc., Path 1 Network Technologies, Inc., Pavilion Energy Resources, Inc. (f/k/a Global Business Services, Inc.), Pine Valley Mining Corp., Platina Energy Group, Inc., Pop N Go, Inc., and Powercold Corp., File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11403.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11403.html Thu, 10 May 2012 00:00:00 -0700 2012-11403 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11403.pdf Notice - Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11324.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11324.html Thu, 10 May 2012 00:00:00 -0700 2012-11324 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11324.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving Proposed Rule Change, as Modified by Amendment No. 2, Consisting of Interpretive Notice Concerning the Application of MSRB Rule G-17 to Underwriters of Municipal Securities https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11268.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11268.html Thu, 10 May 2012 00:00:00 -0700 2012-11268 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11268.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Phlx's Fee Schedule Governing Routing From Its NASDAQ OMX PSX Facility https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11258.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11258.html Thu, 10 May 2012 00:00:00 -0700 2012-11258 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11258.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11257.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11257.html Thu, 10 May 2012 00:00:00 -0700 2012-11257 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11257.pdf Notice - SK Private Investment Fund 1998 LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11256.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11256.html Thu, 10 May 2012 00:00:00 -0700 2012-11256 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11256.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11250.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11250.html Thu, 10 May 2012 00:00:00 -0700 2012-11250 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11250.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11249.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11249.html Thu, 10 May 2012 00:00:00 -0700 2012-11249 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11249.pdf Notice - Destra Capital Investments LLC and Destra Unit Investment Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11248.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11248.html Thu, 10 May 2012 00:00:00 -0700 2012-11248 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11248.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Amex LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C To Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C To Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11247.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11247.html Thu, 10 May 2012 00:00:00 -0700 2012-11247 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11247.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11246.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11246.html Thu, 10 May 2012 00:00:00 -0700 2012-11246 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11246.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Regarding Routing of Limit Orders https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11245.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11245.html Thu, 10 May 2012 00:00:00 -0700 2012-11245 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11245.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Accelerated Approval of Proposed Rule Change to Membership Qualifications https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11244.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11244.html Thu, 10 May 2012 00:00:00 -0700 2012-11244 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11244.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change To Amend Rules Relating to the Issuance of and Maturity Presentment Processing for Money Market Instruments https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11243.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11243.html Thu, 10 May 2012 00:00:00 -0700 2012-11243 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11243.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Regarding CDS Clearing Member Obligations and Qualifications https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11242.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11242.html Thu, 10 May 2012 00:00:00 -0700 2012-11242 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11242.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend Rules Regarding IRS Clearing Member Obligations and Qualifications https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11241.html https://regulations.justia.com/regulations/fedreg/2012/05/10/2012-11241.html Thu, 10 May 2012 00:00:00 -0700 2012-11241 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-10/pdf/2012-11241.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11291.html https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11291.html Wed, 09 May 2012 00:00:00 -0700 2012-11291 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-09/pdf/2012-11291.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Investor Support Program Under Rule 7014 and To Amend NASDAQ's Schedule of Execution and Routing Fees and Rebates Under Rule 7018 https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11136.html https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11136.html Wed, 09 May 2012 00:00:00 -0700 2012-11136 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-09/pdf/2012-11136.pdf Proposed Rule - Amendments to Financial Responsibility Rules for Broker-Dealers https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11133.html https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11133.html Wed, 09 May 2012 00:00:00 -0700 2012-11133 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2012-05-09/pdf/2012-11133.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add Margin Collection Requirements for Futures Commission Merchant Clearing Participants https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11132.html https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11132.html Wed, 09 May 2012 00:00:00 -0700 2012-11132 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-09/pdf/2012-11132.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Reduce the Current Level of Risk Mutualization Among Clearing Participants and To Modify the Initial Margin Risk Model So That It Is Easier for Clearing Participants To Measure Their Recovery Rate Risk Exposure https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11131.html https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11131.html Wed, 09 May 2012 00:00:00 -0700 2012-11131 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-09/pdf/2012-11131.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Amending FINRA Rules 12401 (Number of Arbitrators) and 12800 (Simplified Arbitration) of the Code of Arbitration Procedure for Customer Disputes, and FINRA Rules 13401 (Number of Arbitrators) and 13800 (Simplified Arbitration) of the Code of Arbitration Procedure for Industry Disputes, To Raise the Limit for Simplified Arbitration From $25,000 to $50,000 https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11130.html https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11130.html Wed, 09 May 2012 00:00:00 -0700 2012-11130 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-09/pdf/2012-11130.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change To Amend the ICE Clear Europe Limited CDS Procedures, Finance Procedures, and Rules With Respect to the Calculation and Payment of Interest on Mark-To-Market Margin on CDS Transactions https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11129.html https://regulations.justia.com/regulations/fedreg/2012/05/09/2012-11129.html Wed, 09 May 2012 00:00:00 -0700 2012-11129 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-09/pdf/2012-11129.pdf Notice - Order of Suspension of Trading; In the Matter of Anthracite Capital, Inc., Auto Data Network Inc., Avenue Group, Inc., Ckrush, Inc., Clickable Enterprises, Inc., and DCI USA, Inc. https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11153.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11153.html Tue, 08 May 2012 00:00:00 -0700 2012-11153 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11153.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11114.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11114.html Tue, 08 May 2012 00:00:00 -0700 2012-11114 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11114.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11109.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11109.html Tue, 08 May 2012 00:00:00 -0700 2012-11109 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11109.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11006.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11006.html Tue, 08 May 2012 00:00:00 -0700 2012-11006 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11006.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11005.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11005.html Tue, 08 May 2012 00:00:00 -0700 2012-11005 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11005.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11004.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11004.html Tue, 08 May 2012 00:00:00 -0700 2012-11004 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11004.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11003.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11003.html Tue, 08 May 2012 00:00:00 -0700 2012-11003 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11003.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7001 and 7018(h) https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11002.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11002.html Tue, 08 May 2012 00:00:00 -0700 2012-11002 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11002.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing a Fee Change for the Floor Broker Electronic Order Capture Device https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11001.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11001.html Tue, 08 May 2012 00:00:00 -0700 2012-11001 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11001.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing an Increase to the Login Fee Within the NYSE Amex Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11000.html https://regulations.justia.com/regulations/fedreg/2012/05/08/2012-11000.html Tue, 08 May 2012 00:00:00 -0700 2012-11000 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-08/pdf/2012-11000.pdf Notice - Order of Suspension of Trading; Airtrax, Inc., Amedia Networks, Inc., American Business Financial Services, Inc., Appalachian Bancshares, Inc., and Ariel Way, Inc. https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-11020.html https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-11020.html Mon, 07 May 2012 00:00:00 -0700 2012-11020 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-07/pdf/2012-11020.pdf Notice - HydroGenetics, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10985.html https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10985.html Mon, 07 May 2012 00:00:00 -0700 2012-10985 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-07/pdf/2012-10985.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Update the Contract Reference Obligation ISINs Associated With Four Single Name Contracts https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10912.html https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10912.html Mon, 07 May 2012 00:00:00 -0700 2012-10912 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-07/pdf/2012-10912.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Implement a Change in the Practices of The Depository Trust Company as They Relate to Post-Payable Adjustments https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10911.html https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10911.html Mon, 07 May 2012 00:00:00 -0700 2012-10911 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-07/pdf/2012-10911.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.9 and Rule 21.1 To Allow Optional Attribution of Orders https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10880.html https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10880.html Mon, 07 May 2012 00:00:00 -0700 2012-10880 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-07/pdf/2012-10880.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.9 To Allow Optional Attribution of Orders https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10879.html https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10879.html Mon, 07 May 2012 00:00:00 -0700 2012-10879 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-07/pdf/2012-10879.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Add an Index Option Product for Trading on the Exchange https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10878.html https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10878.html Mon, 07 May 2012 00:00:00 -0700 2012-10878 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-07/pdf/2012-10878.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/2012/05/07/2012-10877.html https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10877.html Mon, 07 May 2012 00:00:00 -0700 2012-10877 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-07/pdf/2012-10877.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing of Proposed Rule Change to List Shares of the Nuveen Long/Short Commodity Total Return Fund Under NYSE Amex Rule 1600 et seq. https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10876.html https://regulations.justia.com/regulations/fedreg/2012/05/07/2012-10876.html Mon, 07 May 2012 00:00:00 -0700 2012-10876 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-07/pdf/2012-10876.pdf Notice - In the Matter of Recycle Tech, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10916.html https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10916.html Fri, 04 May 2012 00:00:00 -0700 2012-10916 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-04/pdf/2012-10916.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10757.html https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10757.html Fri, 04 May 2012 00:00:00 -0700 2012-10757 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-04/pdf/2012-10757.pdf Notice - Steel Partners Holdings L.P.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10756.html https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10756.html Fri, 04 May 2012 00:00:00 -0700 2012-10756 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-04/pdf/2012-10756.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10755.html https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10755.html Fri, 04 May 2012 00:00:00 -0700 2012-10755 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-04/pdf/2012-10755.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Fees for Removing Liquidity in Select Symbols https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10754.html https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10754.html Fri, 04 May 2012 00:00:00 -0700 2012-10754 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-04/pdf/2012-10754.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change Relating to Procedures for Executing the Stock Leg(s) of Stock-Option Orders https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10753.html https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10753.html Fri, 04 May 2012 00:00:00 -0700 2012-10753 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-04/pdf/2012-10753.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing for BX Members Using the NASDAQ OMX BX Equities System https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10752.html https://regulations.justia.com/regulations/fedreg/2012/05/04/2012-10752.html Fri, 04 May 2012 00:00:00 -0700 2012-10752 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-04/pdf/2012-10752.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New EDGA Rule Regarding Telemarketing https://regulations.justia.com/regulations/fedreg/2012/05/03/2012-10644.html https://regulations.justia.com/regulations/fedreg/2012/05/03/2012-10644.html Thu, 03 May 2012 00:00:00 -0700 2012-10644 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-03/pdf/2012-10644.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New EDGX Rule Regarding Telemarketing https://regulations.justia.com/regulations/fedreg/2012/05/03/2012-10643.html https://regulations.justia.com/regulations/fedreg/2012/05/03/2012-10643.html Thu, 03 May 2012 00:00:00 -0700 2012-10643 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-03/pdf/2012-10643.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Amend FINRA Rule 4560 (Short-Interest Reporting) https://regulations.justia.com/regulations/fedreg/2012/05/03/2012-10642.html https://regulations.justia.com/regulations/fedreg/2012/05/03/2012-10642.html Thu, 03 May 2012 00:00:00 -0700 2012-10642 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-03/pdf/2012-10642.pdf Notice - In the Matter of the Application of BOX Options Exchange LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission https://regulations.justia.com/regulations/fedreg/2012/05/03/2012-10620.html https://regulations.justia.com/regulations/fedreg/2012/05/03/2012-10620.html Thu, 03 May 2012 00:00:00 -0700 2012-10620 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-03/pdf/2012-10620.pdf Notice - LocatePlus Holdings Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10671.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10671.html Wed, 02 May 2012 00:00:00 -0700 2012-10671 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10671.pdf Notice - Invesco Total Property Market Income Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10569.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10569.html Wed, 02 May 2012 00:00:00 -0700 2012-10569 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10569.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10545.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10545.html Wed, 02 May 2012 00:00:00 -0700 2012-10545 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10545.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add Reporting Requirements for FCM Clearing Members https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10544.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10544.html Wed, 02 May 2012 00:00:00 -0700 2012-10544 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10544.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Consisting of Establishment of Historical Data Subscription From Submissions to the MSRB Electronic Municipal Market Access System (“EMMA”) https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10543.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10543.html Wed, 02 May 2012 00:00:00 -0700 2012-10543 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10543.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Consisting of Establishment of a Subscription to Historical Information and Documents Submitted to the MSRB's Short-Term Obligation Rate Transparency System https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10542.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10542.html Wed, 02 May 2012 00:00:00 -0700 2012-10542 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10542.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated With Receipt of the EDGX Book Feed https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10541.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10541.html Wed, 02 May 2012 00:00:00 -0700 2012-10541 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10541.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated With Receipt of the EDGA Book Feed https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10540.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10540.html Wed, 02 May 2012 00:00:00 -0700 2012-10540 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10540.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; 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 Europe Limited https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10539.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10539.html Wed, 02 May 2012 00:00:00 -0700 2012-10539 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10539.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Granting Approval of a Proposed Rule Change Relating to the Listing and Trading of MSCI EAFE Index Options https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10538.html https://regulations.justia.com/regulations/fedreg/2012/05/02/2012-10538.html Wed, 02 May 2012 00:00:00 -0700 2012-10538 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10538.pdf