Securities and Exchange Commission November 30, 2012 – Federal Register Recent Federal Regulation Documents

Results 1 - 11 of 11
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
Document Number: C1-2012-26164
Type: Proposed Rule
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/C1-2012-26164.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Rule 6.64 (OX Trading Auctions) With Respect to Opening Trading in an Options Series
Document Number: 2012-28987
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28987.html
Blackstone Alternative Alpha Fund, et al.; Notice of Application
Document Number: 2012-28951
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit certain registered closed-end management investment companies to issue multiple classes of shares of beneficial interest (``Shares'') and to impose asset-based service and/or distribution fees and contingent deferred sales loads (``CDSCs'').
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28951.html
Submission for OMB Review; Comment Request
Document Number: 2012-28950
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28950.html
Submission for OMB Review; Comment Request
Document Number: 2012-28949
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28949.html
Submission for OMB Review; Comment Request
Document Number: 2012-28948
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28948.html
Proposed Collection; Comment Request
Document Number: 2012-28947
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28947.html
Proposed Collection; Comment Request
Document Number: 2012-28946
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28946.html
Submission for OMB Review; Comment Request
Document Number: 2012-28945
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28945.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Clarify the Use of Certain Amounts Credited to the Liquidating Settlement Account To Settle Mark-to-Market Payments Arising From Stock Loan and Borrow Positions Carried in the Customers' Account
Document Number: 2012-28944
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28944.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Listing Requirements for Other Securities Listed Under Rule 5730
Document Number: 2012-28943
Type: Notice
Date: 2012-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28943.html
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