<![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/2012/11/27?registers=between Mon, 20 May 2024 19:13:38 -0700 Mon, 20 May 2024 19:13:38 -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/2012/11/27?registers=between Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change With Respect to INAV Pegged Orders for ETFs https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28758.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28758.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28758 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28758.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the Listed Company Manual Section 204.00 To Create a Uniform Method for a Company To Provide Notice to the Exchange When Required Pursuant to Sections 204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the Listed Company Manual, and To Make Conforming Changes https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28745.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28745.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28745 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28745.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Revisions to the Study Outline for the Municipal Securities Principal Qualification Examination (Series 53) https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28742.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28742.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28742 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28742.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service Is Fully Restored or Friday, December 14, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28684.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28684.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28684 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28684.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, December 14, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28683.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28683.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28683 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28683.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28682.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28682.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28682 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28682.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Addendum A (Fee Structure) of Its Rules and Procedures Relating to Fund/SERV® Fees https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28681.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28681.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28681 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28681.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 4618 https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28680.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28680.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28680 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28680.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 3218 https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28679.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28679.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28679 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28679.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28641.html https://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28641.html Tue, 27 Nov 2012 00:00:00 -0800 2012-28641 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28641.pdf