<![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/2012/06/13?registers=between Wed, 02 Apr 2025 11:44:18 -0700 Wed, 02 Apr 2025 11:44:18 -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/2012/06/13?registers=between Rule - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14440.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14440.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14440 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14440.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Exchange Rule 11.19, Entitled “Short Sales” https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14405.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14405.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14405 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14405.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/2012/06/13/2012-14344.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14344.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14344 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14344.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/2012/06/13/2012-14343.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14343.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14343 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14343.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/2012/06/13/2012-14342.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14342.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14342 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14342.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/2012/06/13/2012-14341.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14341.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14341 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14341.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 to Adopt FINRA Rule 5123 (Private Placements of Securities) in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14340.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14340.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14340 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14340.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 ICE Clear Credit LLC Rules To Amend the Reference Entity Name for Three Credit Default Swap Contracts and the Reference Obligation International Securities Identification Number Associated With One Credit Default Swap Contract https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14339.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14339.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14339 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14339.pdf Notice - Self-Regulatory Organizations; NYSE Amex LLC; Order Granting Approval 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/2012/06/13/2012-14338.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14338.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14338 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14338.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval 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/2012/06/13/2012-14337.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14337.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14337 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14337.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule To Amend the Rights Fee That Is Charged to Specialists, e-Specialists and Directed Order Market Makers https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14336.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14336.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14336 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14336.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change To Adopt Self-Trade Prevention Modifiers on the CBOE Stock Exchange https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14335.html https://regulations.justia.com/regulations/fedreg/2012/06/13/2012-14335.html Wed, 13 Jun 2012 00:00:00 -0700 2012-14335 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-13/pdf/2012-14335.pdf