<![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/2012/09/13?registers=between Sat, 18 May 2024 06:37:21 -0700 Sat, 18 May 2024 06:37:21 -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/2012/09/13?registers=between Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Offer Certain Proprietary Options Data Products https://regulations.justia.com/regulations/fedreg/2012/09/13/C1-2012-21386.html https://regulations.justia.com/regulations/fedreg/2012/09/13/C1-2012-21386.html Thu, 13 Sep 2012 00:00:00 -0700 C1-2012-21386 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-13/pdf/C1-2012-21386.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Offer Certain Proprietary Options Data Products https://regulations.justia.com/regulations/fedreg/2012/09/13/C1-2012-21385.html https://regulations.justia.com/regulations/fedreg/2012/09/13/C1-2012-21385.html Thu, 13 Sep 2012 00:00:00 -0700 C1-2012-21385 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-13/pdf/C1-2012-21385.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22555.html https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22555.html Thu, 13 Sep 2012 00:00:00 -0700 2012-22555 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-13/pdf/2012-22555.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate the Tape A Step Up Tier, Modify the Remaining Tape Step Up Tiers and Introduce an Alternative Method of Qualifying for Tier 1 https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22523.html https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22523.html Thu, 13 Sep 2012 00:00:00 -0700 2012-22523 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-13/pdf/2012-22523.pdf Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to iShares, Inc. and iShares MSCI Frontier 100 Index Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rule 101(d) and 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22522.html https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22522.html Thu, 13 Sep 2012 00:00:00 -0700 2012-22522 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-13/pdf/2012-22522.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority To Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22521.html https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22521.html Thu, 13 Sep 2012 00:00:00 -0700 2012-22521 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-13/pdf/2012-22521.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain NYSE Rules To Replace References to “NYSE Amex” With “NYSE MKT” Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22520.html https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22520.html Thu, 13 Sep 2012 00:00:00 -0700 2012-22520 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-13/pdf/2012-22520.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain NYSE Arca Rules To Replace References to “NYSE Amex” With “NYSE MKT” Reflecting the Recent Name Change of NYSE Amex LLC to NYSE MKT LLC https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22519.html https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22519.html Thu, 13 Sep 2012 00:00:00 -0700 2012-22519 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-13/pdf/2012-22519.pdf Notice - Technology and Trading Roundtable https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22487.html https://regulations.justia.com/regulations/fedreg/2012/09/13/2012-22487.html Thu, 13 Sep 2012 00:00:00 -0700 2012-22487 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-13/pdf/2012-22487.pdf