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/2012/10?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-23T03:36:22-07:00 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/2012/10/31/2012-26740.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Pring Turner Business Cycle ETF Under NYSE Arca Equities Rule 8.600 2012-10-31T00:00:00-07:00 2012-10-31T00:00:00-07:00 2012-26740 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-31/pdf/2012-26740.pdf https://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26724.html Notice - Privacy Act of 1974: Systems of Records. 2012-10-31T00:00:00-07:00 2012-10-31T00:00:00-07:00

2012-26724 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-31/pdf/2012-26724.pdf https://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26712.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 2012-10-31T00:00:00-07:00 2012-10-31T00:00:00-07:00 2012-26712 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-31/pdf/2012-26712.pdf https://regulations.justia.com/regulations/fedreg/2012/10/31/2012-26711.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Accelerated Approval of Proposed Rule Change To Accommodate Equity Options That Have a Unit of Trading of 10 Shares 2012-10-31T00:00:00-07:00 2012-10-31T00:00:00-07:00 2012-26711 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-31/pdf/2012-26711.pdf https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26715.html Notice - Sunshine Act Meeting Notice 2012-10-30T00:00:00-07:00 2012-10-30T00:00:00-07:00 2012-26715 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26715.pdf https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26642.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt and Amend Certain Rules That Are Applicable to Security Futures 2012-10-30T00:00:00-07:00 2012-10-30T00:00:00-07:00 2012-26642 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26642.pdf https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26641.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule To Change the Monthly Cost for Option Trading Permits 2012-10-30T00:00:00-07:00 2012-10-30T00:00:00-07:00 2012-26641 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26641.pdf https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26640.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the Complex Order Auction Process 2012-10-30T00:00:00-07:00 2012-10-30T00:00:00-07:00 2012-26640 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26640.pdf https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26639.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Sovereign Screened Global Bond Fund 2012-10-30T00:00:00-07:00 2012-10-30T00:00:00-07:00 2012-26639 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26639.pdf https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26638.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to the Complex Order Auction Process 2012-10-30T00:00:00-07:00 2012-10-30T00:00:00-07:00 2012-26638 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26638.pdf https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26589.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To List and Trade Units of the Sprott Physical Platinum and Palladium Trust Pursuant to NYSE Arca Equities Rule 8.201 2012-10-30T00:00:00-07:00 2012-10-30T00:00:00-07:00 2012-26589 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26589.pdf https://regulations.justia.com/regulations/fedreg/2012/10/30/2012-26560.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Regarding the Valuation of Securities on Deposit 2012-10-30T00:00:00-07:00 2012-10-30T00:00:00-07:00 2012-26560 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-30/pdf/2012-26560.pdf https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26609.html Notice - Chimera Energy Corporation; Order of Suspension of Trading 2012-10-29T00:00:00-07:00 2012-10-29T00:00:00-07:00 2012-26609 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26609.pdf https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26541.html Notice - Proposed Collection; Comment Request 2012-10-29T00:00:00-07:00 2012-10-29T00:00:00-07:00 2012-26541 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26541.pdf https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26540.html Notice - PNC Capital Advisors, LLC, et al.; Notice of Application 2012-10-29T00:00:00-07:00 2012-10-29T00:00:00-07:00 2012-26540 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26540.pdf https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26470.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Increase Position and Exercise Limits for EEM Options 2012-10-29T00:00:00-07:00 2012-10-29T00:00:00-07:00 2012-26470 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26470.pdf https://regulations.justia.com/regulations/fedreg/2012/10/29/2012-26469.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish Fees for New Optional Wireless Connectivity for Co-located Clients 2012-10-29T00:00:00-07:00 2012-10-29T00:00:00-07:00 2012-26469 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-29/pdf/2012-26469.pdf https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26506.html Notice - In the Matter of China Voice Holding Corp., China Yongxin Pharmaceuticals, Inc., Creative Technologies Holdings, Inc., Crestek, Inc., Crys*Tel Telecommunications.com, Inc. (n/k/a Fleet Management Solutions, Inc.), CSI Computer Specialists, Inc., and CST Entertainment, Inc. (n/k/a Legacy Holding, Inc.); Order of Suspension of Trading 2012-10-26T00:00:00-07:00 2012-10-26T00:00:00-07:00 2012-26506 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26506.pdf https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26503.html Notice - MedLink International, Inc.; Order of Suspension of Trading 2012-10-26T00:00:00-07:00 2012-10-26T00:00:00-07:00 2012-26503 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26503.pdf https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26399.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval 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 2012-10-26T00:00:00-07:00 2012-10-26T00:00:00-07:00 2012-26399 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26399.pdf https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26344.html Notice - Legg Mason ETF Trust, et al.; Notice of Application 2012-10-26T00:00:00-07:00 2012-10-26T00:00:00-07:00 2012-26344 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26344.pdf https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26341.html Notice - Neuberger Berman Alternative Funds, et al.; Notice of Application 2012-10-26T00:00:00-07:00 2012-10-26T00:00:00-07:00 2012-26341 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26341.pdf https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26340.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a Proposed Rule Change To Amend the Real-Time Transaction Reporting System Information System and Subscription Service 2012-10-26T00:00:00-07:00 2012-10-26T00:00:00-07:00 2012-26340 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26340.pdf https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26339.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) 2012-10-26T00:00:00-07:00 2012-10-26T00:00:00-07:00 2012-26339 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26339.pdf https://regulations.justia.com/regulations/fedreg/2012/10/26/2012-26338.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of “Money Market Instrument” in FINRA Rule 6710(o) 2012-10-26T00:00:00-07:00 2012-10-26T00:00:00-07:00 2012-26338 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-26/pdf/2012-26338.pdf https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26402.html Notice - Sunshine Act Meeting Notice. 2012-10-25T00:00:00-07:00 2012-10-25T00:00:00-07:00 2012-26402 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26402.pdf https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26357.html Notice - In the Matter of Fearless International, Inc., Glassmaster Company, Global Entertainment Holdings/Equities, Inc., Global Realty Development Corp., Global Roaming Distribution, Inc., and Gottaplay Interactive, Inc.; Order of Suspension of Trading 2012-10-25T00:00:00-07:00 2012-10-25T00:00:00-07:00 2012-26357 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26357.pdf https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26279.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Weekly Program 2012-10-25T00:00:00-07:00 2012-10-25T00:00:00-07:00 2012-26279 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26279.pdf https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26254.html Notice - Proposed Collection; Comment Request 2012-10-25T00:00:00-07:00 2012-10-25T00:00:00-07:00 2012-26254 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26254.pdf https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26253.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Global Corporate Bond Fund of the WisdomTree Trust 2012-10-25T00:00:00-07:00 2012-10-25T00:00:00-07:00 2012-26253 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26253.pdf https://regulations.justia.com/regulations/fedreg/2012/10/25/2012-26234.html Notice - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to the Investment Advisers Act of 1940 2012-10-25T00:00:00-07:00 2012-10-25T00:00:00-07:00 2012-26234 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-25/pdf/2012-26234.pdf https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26163.html Notice - Trust for Professional Managers and Collins Capital Investments, LLC; Notice of Application 2012-10-24T00:00:00-07:00 2012-10-24T00:00:00-07:00 2012-26163 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26163.pdf https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26148.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Adopt a Designated Primary Market-Maker Program 2012-10-24T00:00:00-07:00 2012-10-24T00:00:00-07:00 2012-26148 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26148.pdf https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26147.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Schedule 502 of the ICC Rules To Update the Contract Reference Obligation ISINs Associated With Eight Single Name Contracts 2012-10-24T00:00:00-07:00 2012-10-24T00:00:00-07:00 2012-26147 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26147.pdf https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26146.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Maker Fees for Certain Complex Orders Executed on the Exchange 2012-10-24T00:00:00-07:00 2012-10-24T00:00:00-07:00 2012-26146 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26146.pdf https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26145.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 17 To Add a New Paragraph (c)(3) Addressing the Authority of the Exchange or Archipelago Securities LLC To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities 2012-10-24T00:00:00-07:00 2012-10-24T00:00:00-07:00 2012-26145 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26145.pdf https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26144.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 17-Equities To Add a New Paragraph (c)(3) Addressing the Authority of the Exchange or Archipelago Securities LLC To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities 2012-10-24T00:00:00-07:00 2012-10-24T00:00:00-07:00 2012-26144 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26144.pdf https://regulations.justia.com/regulations/fedreg/2012/10/24/2012-26143.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 102.01 and 103.00 of the Exchange's Listed Company Manual To Permit the Consideration of Stockholders and Trading Volume in the Company's Home Country Market or Primary Trading Market Outside the United States, Provided Such Market is a Regulated Stock Exchange, When Determining the Qualification for Initial Listing Under Section 102.01 of a Company From Outside North America 2012-10-24T00:00:00-07:00 2012-10-24T00:00:00-07:00 2012-26143 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-24/pdf/2012-26143.pdf https://regulations.justia.com/regulations/fedreg/2012/10/23/2012-26149.html Notice - Sunshine Act Meeting 2012-10-23T00:00:00-07:00 2012-10-23T00:00:00-07:00 2012-26149 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-23/pdf/2012-26149.pdf https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25879.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules To Clarify the Handling of Zero Displayed Reserve Orders During Crossed Markets and To Add a Definition of a Primary Peg Order 2012-10-22T00:00:00-07:00 2012-10-22T00:00:00-07:00 2012-25879 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25879.pdf https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25871.html Notice - Medley Capital Corporation, et al. 2012-10-22T00:00:00-07:00 2012-10-22T00:00:00-07:00

2012-25871 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25871.pdf https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25866.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess a Monthly Fee for Subscription to the QView Service 2012-10-22T00:00:00-07:00 2012-10-22T00:00:00-07:00 2012-25866 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25866.pdf https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25865.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess a Monthly Fee for Subscription to the QView Service 2012-10-22T00:00:00-07:00 2012-10-22T00:00:00-07:00 2012-25865 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25865.pdf https://regulations.justia.com/regulations/fedreg/2012/10/22/2012-25864.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend CME Rule 971 To Require FCM Clearing Members To Provide Certain View-Only Access 2012-10-22T00:00:00-07:00 2012-10-22T00:00:00-07:00 2012-25864 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-22/pdf/2012-25864.pdf https://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25937.html Notice - Sunshine Act Meeting 2012-10-19T00:00:00-07:00 2012-10-19T00:00:00-07:00 2012-25937 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-19/pdf/2012-25937.pdf https://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25739.html Notice - Submission for OMB Review; Comment Request 2012-10-19T00:00:00-07:00 2012-10-19T00:00:00-07:00 2012-25739 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-19/pdf/2012-25739.pdf https://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25738.html Notice - Submission for OMB Review; Comment Request 2012-10-19T00:00:00-07:00 2012-10-19T00:00:00-07:00 2012-25738 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-19/pdf/2012-25738.pdf https://regulations.justia.com/regulations/fedreg/2012/10/19/2012-25736.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Certain Disclosure Requirements To Require Listed Companies To Publicly Describe the Specific Basis and Concern Identified by Nasdaq When a Company Does Not Meet a Listing Standard and Give Nasdaq the Authority To Make Such Public Announcement When a Listed Company Fails To Do so 2012-10-19T00:00:00-07:00 2012-10-19T00:00:00-07:00 2012-25736 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-19/pdf/2012-25736.pdf https://regulations.justia.com/regulations/fedreg/2012/10/18/2012-25654.html 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 2012-10-18T00:00:00-07:00 2012-10-18T00:00:00-07:00 2012-25654 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-18/pdf/2012-25654.pdf https://regulations.justia.com/regulations/fedreg/2012/10/18/2012-25653.html 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 Execution and Routing 2012-10-18T00:00:00-07:00 2012-10-18T00:00:00-07:00 2012-25653 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-10-18/pdf/2012-25653.pdf