<![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/2012/07/16?registers=between Sat, 05 Apr 2025 22:19:51 -0700 Sat, 05 Apr 2025 22:19:51 -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/2012/07/16?registers=between Notice - In the Matter of Alternative Energy Sources, Inc., Arlington Hospitality, Inc., Consolidated Oil & Gas, Inc., CSMG Technologies, Inc., Dakotah, Incorporated, and DelSite, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17344.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17344.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17344 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17344.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation Date for Non-Display of Primary Pegged Orders With an Offset Amount https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17274.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17274.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17274 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17274.pdf Rule - Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17261.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17261.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17261 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17261.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting Facility https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17219.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17219.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17219 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17219.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend OCC's By-Laws and Rules To Terminate OCC's Pledge Program https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17208.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17208.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17208 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17208.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend OCC's Schedule of Fees to Eliminate Fees for Certain Educational Brochures https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17207.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17207.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17207 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17207.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17206.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17206.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17206 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17206.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 Order Execution on Its NASDAQ OMX PSX Facility https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17205.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17205.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17205 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17205.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify BX's Fee Schedule Governing Order Routing https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17203.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17203.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17203 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17203.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/2012/07/16/2012-17202.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17202.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17202 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17202.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Market Maker Peg Order Available to Exchange Market Makers https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17200.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17200.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17200 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17200.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Market Maker Peg Order Available to Exchange Market Makers https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17199.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17199.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17199 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17199.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/2012/07/16/2012-17198.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17198.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17198 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17198.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/2012/07/16/2012-17197.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17197.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17197 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17197.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 440A-Equities, Which Addresses Telemarketing, and Adopting New NYSE MKT LLC Rule 3230-Equities, To Conform to FINRA's Telemarketing Rule https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17176.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17176.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17176 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17176.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE Rule 440A and Interpretation 440A/01, Which Address Telemarketing, and Adopting New NYSE Rule 3230 To Conform to FINRA's Telemarketing Rule https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17175.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17175.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17175 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17175.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Rule Text of NYSE Arca Equities Rule 9.20(b), Which Addresses Telemarketing, and Adopting New Rule Text to NYSE Arca Equities Rule 9.20(b) to Conform to FINRA's Telemarketing Rule https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17174.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17174.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17174 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17174.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Rule Text of NYSE Arca Rule 9.20(b), Which Addresses Telemarketing, and Adopting New Rule Text to NYSE Arca Rule 9.20(b) To Conform to FINRA's Telemarketing Rule https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17173.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17173.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17173 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17173.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting NYSE MKT LLC Rule 428(a), Which Addresses Telephone Solicitation, and Amending NYSE MKT LLC Rule 429, Which Addresses Telemarketing, To Adopt New Rule Text To Conform to FINRA's Telemarketing Rule https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17171.html https://regulations.justia.com/regulations/fedreg/2012/07/16/2012-17171.html Mon, 16 Jul 2012 00:00:00 -0700 2012-17171 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-07-16/pdf/2012-17171.pdf