Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-05-23T01:19:21-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-24064.html Notice - Sunshine Act Meeting 2012-09-28T00:00:00-07:00 2012-09-28T00:00:00-07:00 2012-24064 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-28/pdf/2012-24064.pdf https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-24050.html Notice - Titan Resources International, Corp.; Order of Suspension of Trading 2012-09-28T00:00:00-07:00 2012-09-28T00:00:00-07:00 2012-24050 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-28/pdf/2012-24050.pdf https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-23858.html Notice - Northern Trust Investments, Inc., et al.; Notice of Application 2012-09-28T00:00:00-07:00 2012-09-28T00:00:00-07:00 2012-23858 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-28/pdf/2012-23858.pdf https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-23857.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate Recently Proposed Equity Options That Have a Unit of Trading of 10 Shares 2012-09-28T00:00:00-07:00 2012-09-28T00:00:00-07:00 2012-23857 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-28/pdf/2012-23857.pdf https://regulations.justia.com/regulations/fedreg/2012/09/28/2012-23856.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Additional Series of Credit Default Index Swaps Available for Clearing 2012-09-28T00:00:00-07:00 2012-09-28T00:00:00-07:00 2012-23856 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-28/pdf/2012-23856.pdf https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23816.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to the Clearance and Settlement of Over-the-Counter Options 2012-09-27T00:00:00-07:00 2012-09-27T00:00:00-07:00 2012-23816 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-27/pdf/2012-23816.pdf https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23798.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Members the Ability To Pay a Regulatory Fine Pursuant to an Installment Plan 2012-09-27T00:00:00-07:00 2012-09-27T00:00:00-07:00 2012-23798 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-27/pdf/2012-23798.pdf https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23769.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 13.9 2012-09-27T00:00:00-07:00 2012-09-27T00:00:00-07:00 2012-23769 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-27/pdf/2012-23769.pdf https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23768.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 13.9 2012-09-27T00:00:00-07:00 2012-09-27T00:00:00-07:00 2012-23768 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-27/pdf/2012-23768.pdf https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23767.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend Rule G-34 on CUSIP Numbers, New Issue, and Market Information Requirements 2012-09-27T00:00:00-07:00 2012-09-27T00:00:00-07:00 2012-23767 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-27/pdf/2012-23767.pdf https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23766.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1203(a) and 1205(b) of the NYSE MKT Company Guide (“Company Guide”) To Increase the Fees Applicable to Issuers Requesting Review of a Determination To Limit or Prohibit the Continued Listing of Their Securities on the Exchange 2012-09-27T00:00:00-07:00 2012-09-27T00:00:00-07:00 2012-23766 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-27/pdf/2012-23766.pdf https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23765.html 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. 2012-09-27T00:00:00-07:00 2012-09-27T00:00:00-07:00 2012-23765 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-27/pdf/2012-23765.pdf https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23764.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Small Order Preference Priority Overlay 2012-09-27T00:00:00-07:00 2012-09-27T00:00:00-07:00 2012-23764 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-27/pdf/2012-23764.pdf https://regulations.justia.com/regulations/fedreg/2012/09/27/2012-23763.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of a Proposed Rule Change Amending the Members' Schedule of NYSE Amex Options LLC in Order To Reflect Changes to the Capital Structure of the Company 2012-09-27T00:00:00-07:00 2012-09-27T00:00:00-07:00 2012-23763 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-27/pdf/2012-23763.pdf https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23762.html Notice - Sunshine Act Meeting 2012-09-26T00:00:00-07:00 2012-09-26T00:00:00-07:00 2012-23762 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-26/pdf/2012-23762.pdf https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23688.html Rule - Extension of Temporary Registration of Municipal Advisors 2012-09-26T00:00:00-07:00 2012-09-26T00:00:00-07:00

2012-23688 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-09-26/pdf/2012-23688.pdf https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23637.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Amending Commentary .07 to NYSE Arca Options Rule 6.4 To Expand the Number of Expirations Available Under the Short Term Option Series Program (“STOS Program”), To Allow for the Exchange To Delist any Series in the STOS That Do Not Have Open Interest and To Expand the Number of Series in STOS Under Limited Circumstances 2012-09-26T00:00:00-07:00 2012-09-26T00:00:00-07:00 2012-23637 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-26/pdf/2012-23637.pdf https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23636.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1, Amending Rule 903(h) and Related Commentary .10 To Expand the Number of Expirations Available Under the Short Term Option Series Program (“STOS Program”), To Allow for the Exchange To Delist Any Series in the STOS That Do Not Have Open Interest and To Expand the Number of Series in STOS Under Limited Circumstances 2012-09-26T00:00:00-07:00 2012-09-26T00:00:00-07:00 2012-23636 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-26/pdf/2012-23636.pdf https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23635.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis 2012-09-26T00:00:00-07:00 2012-09-26T00:00:00-07:00 2012-23635 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-26/pdf/2012-23635.pdf https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23634.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE Amex Options LLC Members Agreement To Empower the Volume Dispute Committee To Establish Principles for Determining Whether the Exchange Has Experienced a Bona Fide Systems Problem and To Adjust Certain Volume Measurements Accordingly 2012-09-26T00:00:00-07:00 2012-09-26T00:00:00-07:00 2012-23634 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-26/pdf/2012-23634.pdf https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23633.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the iShares Short Maturity Bond Fund 2012-09-26T00:00:00-07:00 2012-09-26T00:00:00-07:00 2012-23633 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-26/pdf/2012-23633.pdf https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23632.html 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 2012-09-26T00:00:00-07:00 2012-09-26T00:00:00-07:00 2012-23632 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-26/pdf/2012-23632.pdf https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23601.html Notice - Proposed Collection; Comment Request 2012-09-26T00:00:00-07:00 2012-09-26T00:00:00-07:00 2012-23601 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-26/pdf/2012-23601.pdf https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23564.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend BATS Rule 14.11, Entitled “Other Securities” 2012-09-25T00:00:00-07:00 2012-09-25T00:00:00-07:00 2012-23564 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-25/pdf/2012-23564.pdf https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23541.html Notice - Submission for OMB Review; Comment Request 2012-09-25T00:00:00-07:00 2012-09-25T00:00:00-07:00 2012-23541 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-25/pdf/2012-23541.pdf https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23540.html Notice - Submission for OMB Review; Comment Request 2012-09-25T00:00:00-07:00 2012-09-25T00:00:00-07:00 2012-23540 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-25/pdf/2012-23540.pdf https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23539.html Notice - Proposed Collection; Comment Request 2012-09-25T00:00:00-07:00 2012-09-25T00:00:00-07:00 2012-23539 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-25/pdf/2012-23539.pdf https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23538.html Notice - Submission for OMB Review; Comment Request 2012-09-25T00:00:00-07:00 2012-09-25T00:00:00-07:00 2012-23538 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-25/pdf/2012-23538.pdf https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23537.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years 2012-09-25T00:00:00-07:00 2012-09-25T00:00:00-07:00 2012-23537 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-25/pdf/2012-23537.pdf https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23575.html Notice - Sunshine Act Meeting 2012-09-24T00:00:00-07:00 2012-09-24T00:00:00-07:00 2012-23575 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-24/pdf/2012-23575.pdf https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23483.html Notice - Neuberger Berman Alternative Funds, et al.; Notice of Application 2012-09-24T00:00:00-07:00 2012-09-24T00:00:00-07:00 2012-23483 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-24/pdf/2012-23483.pdf https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23461.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Twelve Funds of the Direxion Shares ETF Trust II Under NYSE Arca Equities Rule 8.200 2012-09-24T00:00:00-07:00 2012-09-24T00:00:00-07:00 2012-23461 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-24/pdf/2012-23461.pdf https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23459.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the PowerShares S&P 500 Downside Hedged Portfolio Under NYSE Arca Equities Rule 8.600 2012-09-24T00:00:00-07:00 2012-09-24T00:00:00-07:00 2012-23459 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-24/pdf/2012-23459.pdf https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23450.html Notice - Financial Investors Trust, et al.; Notice of Application 2012-09-24T00:00:00-07:00 2012-09-24T00:00:00-07:00 2012-23450 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-24/pdf/2012-23450.pdf https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23449.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete FINRA Rule 7064A (Late Fees) 2012-09-24T00:00:00-07:00 2012-09-24T00:00:00-07:00 2012-23449 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-24/pdf/2012-23449.pdf https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23440.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Acceptance of Additional Interest Rate Swaps for Clearing 2012-09-24T00:00:00-07:00 2012-09-24T00:00:00-07:00 2012-23440 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-24/pdf/2012-23440.pdf https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23439.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rules Regarding Requests for Data Related to Exchange Reviews 2012-09-24T00:00:00-07:00 2012-09-24T00:00:00-07:00 2012-23439 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-24/pdf/2012-23439.pdf https://regulations.justia.com/regulations/fedreg/2012/09/21/2012-23317.html Notice - Factor Advisors, LLC, et al.; Notice of Application 2012-09-21T00:00:00-07:00 2012-09-21T00:00:00-07:00 2012-23317 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-21/pdf/2012-23317.pdf https://regulations.justia.com/regulations/fedreg/2012/09/21/2012-23289.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Price Improvement Period 2012-09-21T00:00:00-07:00 2012-09-21T00:00:00-07:00 2012-23289 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-21/pdf/2012-23289.pdf https://regulations.justia.com/regulations/fedreg/2012/09/21/2012-23288.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Options Program 2012-09-21T00:00:00-07:00 2012-09-21T00:00:00-07:00 2012-23288 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-21/pdf/2012-23288.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23316.html Notice - Enwin Resources, Inc., Order of Suspension of Trading 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23316 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23316.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23315.html Notice - Drucker, Inc., DynaMotive Energy Systems Corp., and Gate to Wire Solutions, Inc., Order of Suspension of Trading 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23315 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23315.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23314.html Notice - China Mobile Media Technology, Inc., Order of Suspension of Trading 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23314 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23314.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23237.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposes [sic] To Amend Commentary .06 to NYSE Arca Options Rule 6.4 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration. 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23237 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23237.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23233.html Notice - Proposed Collection; Comment Request 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23233 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23233.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23204.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Commentary .04 to NYSE Amex Options Rule 903 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23204 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23204.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23182.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change and Amendments Nos. 1, 2, 3 and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities With Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23182 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23182.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23181.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Electronic Firm Fee Discount 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23181 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23181.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23180.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Add an Index Option Product for Trading on the Exchange 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23180 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23180.pdf https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23179.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule 2012-09-20T00:00:00-07:00 2012-09-20T00:00:00-07:00 2012-23179 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-09-20/pdf/2012-23179.pdf