<![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/2012/11/07?registers=between Fri, 18 Apr 2025 11:38:42 -0700 Fri, 18 Apr 2025 11:38:42 -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/2012/11/07?registers=between 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 https://regulations.justia.com/regulations/fedreg/2012/11/07/C1-2012-23439.html https://regulations.justia.com/regulations/fedreg/2012/11/07/C1-2012-23439.html Wed, 07 Nov 2012 00:00:00 -0800 C1-2012-23439 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/C1-2012-23439.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options LLC Fee Schedule To Amend the Fees for Specialists and eSpecialists Relating to Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27222.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27222.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27222 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27222.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend Those Aspects of Rules 36.20-Equities, 36.21-Equities, and 36.30-Equities That Would Not Permit Designated Market Makers and Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 2, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27221.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27221.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27221 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27221.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Suspend Those Aspects of Rules 36.20, 36.21, and 36.30 That Would Not Permit Designated Market Makers and Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service Is Fully Restored or Friday, November 2, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27220.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27220.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27220 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27220.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change 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 in Unusual Market Conditions https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27219.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27219.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27219 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27219.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend 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 in Unusual Market Conditions https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27214.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27214.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27214 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27214.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Clarify a Stated Policy With Regard to Existing Provisions of the Loss Allocation Rules of the Government Securities Division and the Mortgage-Backed Securities Division https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27213.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27213.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27213 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27213.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 968NY To Allow for the Split-Price Priority Provisions To Apply to Open Outcry Trading of Cabinet Trades https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27212.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27212.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27212 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27212.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Branch Offices https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27211.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27211.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27211 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27211.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27140.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27140.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27140 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27140.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27139.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27139.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27139 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27139.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27138.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27138.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27138 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27138.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27137.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27137.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27137 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27137.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27136.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27136.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27136 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27136.pdf Notice - Submission of OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27135.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27135.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27135 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27135.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27134.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27134.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27134 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27134.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27133.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27133.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27133 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27133.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27132.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27132.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27132 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27132.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of Certain Securities https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27131.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27131.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27131 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27131.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise the Method for Determining the Minimum Clearing Fund Size To Include Consideration of the Amount Necessary To Draw on Secured Credit Facilities https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27130.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27130.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27130 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27130.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Annual Fees for Companies Listed on the Nasdaq Capital Market https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27129.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27129.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27129 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27129.pdf 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; Correction https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27081.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27081.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27081 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27081.pdf