<![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/2012/11/15?registers=between Fri, 18 Apr 2025 12:34:56 -0700 Fri, 18 Apr 2025 12:34:56 -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/2012/11/15?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27867.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27867.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27867 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27867.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Section VII. C. of the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27779.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27779.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27779 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27779.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees Assessed Under Rule 7003(a) https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27778.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27778.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27778 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27778.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 and .07 to NYSE Arca Rule 6.4 Regarding Strike Price Intervals for Classes in the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27777.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27777.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27777 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27777.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary to Exchange Rule 903 Regarding Strike Price Intervals for Classes in the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27775.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27775.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27775 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27775.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Repeal the Changes Described in SR-FINRA-2011-019 https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27765.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27765.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27765 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27765.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend EDGX Rule 11.5(c) To Add the Edge Market CloseSM https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27763.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27763.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27763 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27763.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change, as Modified by 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 Series in the STOS Program That Do Not Have Open Interest, and To Expand the Number of Series in the STOS Program Under Limited Circumstances https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27720.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27720.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27720 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27720.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend 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 Series in the STOS Program That Do Not Have Open Interest, and To Expand the Number of Series in the STOS Program Under Limited Circumstances https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27719.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27719.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27719 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27719.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27718.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27718.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27718 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27718.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Deleting NYSE Rules 95(c) and (d) and Related Supplementary Material https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27717.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27717.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27717 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27717.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Options Regulatory Fee and To Revise the Circumstances Under Which NYSE Amex Options LLC Will Collect the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27716.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27716.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27716 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27716.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Single-Sided Orders Fees and Rebates https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27715.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27715.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27715 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27715.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Increase Its DEA Fees https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27714.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27714.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27714 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27714.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Its Fee Schedule To Amend Its Institutional Broker Credits https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27713.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27713.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27713 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27713.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Relating to Pricing Applicable to Electronic Transactions in Non-Penny Pilot Issues https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27712.html https://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27712.html Thu, 15 Nov 2012 00:00:00 -0800 2012-27712 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27712.pdf