<![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/2012/10/12?registers=between Wed, 02 Apr 2025 11:24:41 -0700 Wed, 02 Apr 2025 11:24:41 -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/2012/10/12?registers=between Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing From an Affiliated Exchange https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25130.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25130.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25130 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25130.pdf Proposed Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25116.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25116.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25116 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25116.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer the ACT Reject Scan and Assess a Related Fee https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25106.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25106.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25106 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25106.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 4758(a)(1)(A) To Reflect a Change in Its Routing Functionality To Allow Routable Orders To Simultaneously Execute Against Exchange Available Shares and Route to Other Markets for Execution of the Remainder of the Order https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25105.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25105.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25105 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25105.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 3315(a)(1)(A) To Reflect a Change in Its Routing Functionality To Allow Routable Orders to Simultaneously Execute Against Exchange Available Shares and Route to Other Markets for Execution of the Remainder of the Order https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25104.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25104.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25104 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25104.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise CDS Procedures Related to Clearing Certainty Requirements https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25103.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25103.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25103 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25103.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25092.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25092.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25092 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25092.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25091.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25091.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25091 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25091.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25090.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25090.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25090 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25090.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25089.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25089.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25089 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25089.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice and Notice of No Objection To Replace The Options Clearing Corporation's Credit Facility https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25088.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25088.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25088 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25088.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to NYSE Arca Rule 6.8 Adopting a Pilot Program Eliminating Position Limits for Options on the SPDR® S&P 500® Exchange-Traded Fund,1 https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25087.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25087.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25087 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25087.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Pilot Program To Eliminate Position and Exercise Limits in SPY Options https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25086.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25086.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25086 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25086.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Position Limits for SPY Options on a Pilot Basis https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25085.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25085.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25085 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25085.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing From an Affiliated Exchange https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25084.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25084.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25084 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25084.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing From an Affiliated Exchange https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25083.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25083.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25083 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25083.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Rule 7003(a) https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25082.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25082.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25082 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25082.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for Singly Listed Options https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25081.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25081.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25081 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25081.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Closing Rotation Procedures for S&P 500 Index Options https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25080.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25080.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25080 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25080.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise Rules Related To Legal Segregation With Operational Commingling https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25079.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25079.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25079 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25079.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Comply With CFTC Part 22 Regulations https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25078.html https://regulations.justia.com/regulations/fedreg/2012/10/12/2012-25078.html Fri, 12 Oct 2012 00:00:00 -0700 2012-25078 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-25078.pdf