<![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/2012/06/28?registers=between Sat, 05 Apr 2025 21:49:47 -0700 Sat, 05 Apr 2025 21:49:47 -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/2012/06/28?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4 of Schedule A to the FINRA By-Laws To Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15852.html https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15852.html Thu, 28 Jun 2012 00:00:00 -0700 2012-15852 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15852.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Fees for Review of Advertising Material Filed With FINRA https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15851.html https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15851.html Thu, 28 Jun 2012 00:00:00 -0700 2012-15851 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15851.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Technical and Conforming Amendments to the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15808.html https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15808.html Thu, 28 Jun 2012 00:00:00 -0700 2012-15808 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15808.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Rule 3.2 and NYSE Arca Equities, Inc. Rule 3.2, Which Concern the Nomination and Election of Fair Representation Directors https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15807.html https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15807.html Thu, 28 Jun 2012 00:00:00 -0700 2012-15807 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15807.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to FINRA's Trading Activity Fee Rate for Transactions in Covered Equity Securities https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15806.html https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15806.html Thu, 28 Jun 2012 00:00:00 -0700 2012-15806 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15806.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Fees for Filing Documents Pursuant to FINRA Rule 5110 https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15805.html https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15805.html Thu, 28 Jun 2012 00:00:00 -0700 2012-15805 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15805.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Proposed Rule G-43, on Broker's Brokers; Proposed Amendments to Rule G-8, on Books and Records, Rule G-9, on Record Retention, and Rule G-18, on Execution of Transactions; and a Proposed Interpretive Notice on the Duties of Dealers That Use the Services of Broker's Brokers https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15804.html https://regulations.justia.com/regulations/fedreg/2012/06/28/2012-15804.html Thu, 28 Jun 2012 00:00:00 -0700 2012-15804 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-06-28/pdf/2012-15804.pdf