Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2012/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-30T08:30:51-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2012/11/30/C1-2012-26164.htmlProposed Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:00C1-2012-26164Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/C1-2012-26164.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28987.htmlNotice - 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 Series2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28987Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28987.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28951.htmlNotice - Blackstone Alternative Alpha Fund, et al.; Notice of Application2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28951Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28951.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28950.htmlNotice - Submission for OMB Review; Comment Request2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28950Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28950.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28949.htmlNotice - Submission for OMB Review; Comment Request2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28949Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28949.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28948.htmlNotice - Submission for OMB Review; Comment Request2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28948Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28948.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28947.htmlNotice - Proposed Collection; Comment Request2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28947Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28947.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28946.htmlNotice - Proposed Collection; Comment Request2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28946.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28945.htmlNotice - Submission for OMB Review; Comment Request2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28945Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28945.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28944.htmlNotice - 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' Account2012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28944.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28943.htmlNotice - 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 57302012-11-30T00:00:00-08:002012-11-30T00:00:00-08:002012-28943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28943.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/29/2012-28952.htmlNotice - Sunshine Act Meetings2012-11-29T00:00:00-08:002012-11-29T00:00:00-08:002012-28952Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-29/pdf/2012-28952.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/29/2012-28900.htmlNotice - Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment2012-11-29T00:00:00-08:002012-11-29T00:00:00-08:002012-28900Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-29/pdf/2012-28900.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28799.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Specify Pricing That Is Currently Applicable to Certain Executions on the Exchange, but That Is Not Currently Included in the Price List2012-11-28T00:00:00-08:002012-11-28T00:00:00-08:002012-28799Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-28/pdf/2012-28799.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28798.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C(9)(a)(1)(ii) To Delete the Requirement That the Order Acceptance Cut-Off Time Cannot Be Past 4:30 p.m.2012-11-28T00:00:00-08:002012-11-28T00:00:00-08:002012-28798Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-28/pdf/2012-28798.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28797.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Operation of the Exchange's Depth-of-Book Feed2012-11-28T00:00:00-08:002012-11-28T00:00:00-08:002012-28797Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-28/pdf/2012-28797.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28796.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Schedule of Fees and Charges for Exchange Services to Revise Certain Aspects of the Listing Fees Applicable to Structured Products2012-11-28T00:00:00-08:002012-11-28T00:00:00-08:002012-28796Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-28/pdf/2012-28796.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28758.htmlNotice - 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 ETFs2012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28758Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28758.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28745.htmlNotice - 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 Changes2012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28745Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28745.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28742.htmlNotice - 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)2012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28742Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28742.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28684.htmlNotice - 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, 20122012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28684Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28684.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28683.htmlNotice - 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, 20122012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28683Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28683.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28682.htmlNotice - 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)2012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28682Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28682.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28681.htmlNotice - 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® Fees2012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28681Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28681.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28680.htmlNotice - 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 46182012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28680Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28680.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28679.htmlNotice - 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 32182012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28679Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28679.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/27/2012-28641.htmlNotice - Submission for OMB Review; Comment Request2012-11-27T00:00:00-08:002012-11-27T00:00:00-08:002012-28641Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-27/pdf/2012-28641.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28685.htmlNotice - Sunshine Act Meeting2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28685.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28595.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to CBSX To Address Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of Routing Service Error Accounts2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28595Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28595.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28594.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change To Address Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of Routing Service Error Accounts2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28594Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28594.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28593.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Monthly Fees for the Use of Ports2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28593Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28593.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28592.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Proposed Rule Change To Address Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of Routing Service Error Accounts2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28592Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28592.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28535.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28535Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28535.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28534.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28534Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28534.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28533.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28533Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28533.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28532.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28532Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28532.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28531.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28531Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28531.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28530.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28530.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28529.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28529.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28528.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28528.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28527.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28527Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28527.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28526.htmlNotice - Proposed Collection; Comment Request2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28526Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28526.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28525.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 14.11, Entitled “Other Securities,” and To List and Trade Shares of Certain ProShares Products2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28525Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28525.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28524.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis2012-11-26T00:00:00-08:002012-11-26T00:00:00-08:002012-28524Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28524.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28456.htmlRule - Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption2012-11-23T00:00:00-08:002012-11-23T00:00:00-08:002012-28456Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28456.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28455.htmlRule - Disclosure of Payments by Resource Extraction Issuers2012-11-23T00:00:00-08:002012-11-23T00:00:00-08:002012-28455Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28455.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28390.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer the Equity Trade Journal for Clearing Firms Service and Assess a Related Fee2012-11-23T00:00:00-08:002012-11-23T00:00:00-08:002012-28390Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28390.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28385.htmlNotice - Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order2012-11-23T00:00:00-08:002012-11-23T00:00:00-08:002012-28385Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28385.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28384.htmlNotice - 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 ISIN Associated With One Single Name Contract2012-11-23T00:00:00-08:002012-11-23T00:00:00-08:002012-28384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28384.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28383.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Correct Rule Numbering Errors2012-11-23T00:00:00-08:002012-11-23T00:00:00-08:002012-28383Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28383.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28353.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 123C-Equities To Add New Supplementary Material .40 To Clarify That All Times Specified in Rule 123C-Equities Are Adjusted When the Scheduled Close of Trading Is Before 4:00 p.m.2012-11-23T00:00:00-08:002012-11-23T00:00:00-08:002012-28353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28353.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28352.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 123C To Add New Supplementary Material .40 To Clarify That All Times Specified in Rule 123C Are Adjusted When the Scheduled Close of Trading Is Before 4:00 p.m.2012-11-23T00:00:00-08:002012-11-23T00:00:00-08:002012-28352Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28352.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/23/2012-26164.htmlProposed Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers2012-11-23T00:00:00-08:002012-11-23T00:00:00-08:002012-26164Proposed Rulehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-26164.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28299.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exemption to the Direct Registration Program Requirement to All Foreign Issuers Rather Than Only Foreign Private Issuers2012-11-21T00:00:00-08:002012-11-21T00:00:00-08:002012-28299Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28299.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28265.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options on the ISE Max SPY Index2012-11-21T00:00:00-08:002012-11-21T00:00:00-08:002012-28265Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28265.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28264.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change To Amend the Customer Large Trade Discount2012-11-21T00:00:00-08:002012-11-21T00:00:00-08:002012-28264Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28264.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28263.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Enhancements That the Mortgage-Backed Securities Division Intends To Implement to Its Services and Certain Other Clarifications and Corrections to Its Rules2012-11-21T00:00:00-08:002012-11-21T00:00:00-08:002012-28263Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28263.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28262.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Weekly Options Program2012-11-21T00:00:00-08:002012-11-21T00:00:00-08:002012-28262Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28262.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28261.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-11-21T00:00:00-08:002012-11-21T00:00:00-08:002012-28261Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28261.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28260.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2012-11-21T00:00:00-08:002012-11-21T00:00:00-08:002012-28260Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28260.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28259.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(x) To Clarify That When There Is an Early Scheduled Close, the 3:45 p.m. ET Time Specified in the Rule Is Adjusted to 15 Minutes Before the Early Scheduled Close2012-11-21T00:00:00-08:002012-11-21T00:00:00-08:002012-28259Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28259.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28354.htmlNotice - Sunshine Act Meeting2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28354.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28192.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Changes Amending NYSE Arca, Inc. Rules 3.2 and 3.3 and NYSE Arca Equities, Inc. Rules 3.2 and 3.3 To Expand the Eligibility Requirements for Service on Certain Boards of Directors and Committees2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28192Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28192.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28176.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot and Penny Pilot Options2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28176Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28176.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28148.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Amex Options Fee Schedule To Introduce Fees for the Use of Ports2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28148Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28148.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28146.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28146Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28146.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28145.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28145Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28145.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28144.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Monthly Fees for the Use of Ports2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28144Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28144.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28143.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice To Revise the Method for Determining the Minimum Clearing Fund Size To Include Consideration of the Amount Necessary To Draw on Secured Credit Facilities2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28143Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28143.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28137.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Introduce Fees for the Use of Ports2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28137.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28136.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Monthly Fees for the Use of Ports2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28136.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28135.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Order Cancellation Fee2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28135.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28134.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Changes to Market-Makers' Continuous Quoting Obligations2012-11-20T00:00:00-08:002012-11-20T00:00:00-08:002012-28134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28134.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28147.htmlNotice - Order of Suspension of Trading; In The Matter of American Realty Funds Corporation2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28147Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28147.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28066.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to SQT and RSQT Evaluations2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28066Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28066.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28065.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to References in the Exchange's Pricing Schedule With Respect to Non-Electronic Transactions2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28065Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28065.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28049.htmlNotice - Order Granting Exmeptions From Specified Provisions of the Securities Exchange Act and the Investment Company Act and Certain Rules Thereunder; Order Under Section 17a and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28049Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28049.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28016.htmlNotice - Submission for OMB Review; Comment Request2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28016Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28016.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28006.htmlNotice - Columbia ETF Trust, et al.; Notice of Application2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28006Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28006.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28005.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Interim Rule Change Relating to Rule 440B(b)2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28005Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28005.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28004.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee and Rebate Schedule2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28004Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28004.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28003.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28003Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28003.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28002.htmlNotice - 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, November 16, 20122012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28002Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28002.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28001.htmlNotice - 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, November 16, 20122012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28001.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28000.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ's Rebates for Order Execution and Its Fees for Order Entry Ports Through the Introduction of New Market Quality Incentive Programs on a Pilot Basis2012-11-19T00:00:00-08:002012-11-19T00:00:00-08:002012-28000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28000.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-28048.htmlNotice - Sunshine Act Meeting2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-28048Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-28048.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-28017.htmlNotice - DIAS Holding, Inc., EarthBlock Technologies, Inc., Ensurapet, Inc., FIIC Holdings, Inc., GeM Solutions, Inc., Gold Star Tutoring Services Inc., and GPS Industries, Inc.; Order of Suspension of Trading2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-28017Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-28017.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27925.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27925Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27925.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27924.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27924Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27924.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27875.htmlNotice - Highland Associates, Inc. and Financial Investors Trust; Notice of Application2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27875Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27875.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27873.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Comply With CFTC Part 22 Regulations2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27873Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27873.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27872.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee and Rebate Schedule2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27872Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27872.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27871.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27871Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27871.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27870.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Cabinet Trading Pilot Program in Rule 10592012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27870Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27870.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27869.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Cabinet Trading Pilot Program in Rule 10592012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27869Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27869.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27868.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change To Establish “Benchmark Orders” Under NASDAQ Rule 4751(f)2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27868Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27868.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27819.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Amendments No. 1, and Order Granting Accelerated Approval for Proposed Rule Changes as Modified by Amendments No. 1 Relating to Complex Order Fees and Rebates for Adding and Removing Liquidity in Select Symbols2012-11-16T00:00:00-08:002012-11-16T00:00:00-08:002012-27819Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27819.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27867.htmlNotice - Sunshine Act Meeting2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27867Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27867.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27779.htmlNotice - 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 Schedule2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27779Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27779.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27778.htmlNotice - 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)2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27778Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27778.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27777.htmlNotice - 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 Program2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27777Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27777.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27775.htmlNotice - 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 Program2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27775Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27775.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27765.htmlNotice - 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-2011-0192012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27765.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27763.htmlNotice - 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 CloseSM2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27763.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27720.htmlNotice - 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 Circumstances2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27720.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27719.htmlNotice - 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 Circumstances2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27719Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27719.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27718.htmlNotice - 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 Material2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27718Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27718.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27717.htmlNotice - 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 Material2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27717Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27717.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27716.htmlNotice - 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 Fee2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27716Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27716.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27715.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Single-Sided Orders Fees and Rebates2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27715Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27715.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27714.htmlNotice - 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 Fees2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27714Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27714.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27713.htmlNotice - 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 Credits2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27713Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27713.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/15/2012-27712.htmlNotice - 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 Issues2012-11-15T00:00:00-08:002012-11-15T00:00:00-08:002012-27712Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27712.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27628.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27628.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27608.htmlNotice - Submission for OMB Review; Comment Request2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27608.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27607.htmlNotice - Submission for OMB Review; Comment Request2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27607.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27606.htmlNotice - Submission for OMB Review; Comment Request2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27606Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27606.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27604.htmlNotice - Submission for OMB Review; Comment Request2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27604Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27604.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27603.htmlNotice - Submission for OMB Review; Comment Request2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27603Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27603.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27602.htmlNotice - Submission for OMB Review; Comment Request2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27602Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27602.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27601.htmlNotice - Submission for OMB Review; Comment Request2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27601Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27601.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27600.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To Amend the Price Improvement Period2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27600Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27600.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27599.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27599Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27599.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27598.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27598Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27598.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27597.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Options Regulatory Fee and To Revise the Circumstances Under Which NYSE Arca, Inc. Will Collect the Options Regulatory Fee2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27597Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27597.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27574.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change to Amend Rule 17.2 Regarding Requests for Data Related to Exchange Reviews2012-11-14T00:00:00-08:002012-11-14T00:00:00-08:002012-27574Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27574.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27647.htmlNotice - Sunshine Act Meeting2012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27647Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27647.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27551.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the United States Asian Commodities Basket Fund Under NYSE Arca Equities Rule 8.2002012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27551Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27551.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27550.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Twelve Funds of the Direxion Shares ETF Trust II Under NYSE Arca Equities Rule 8.2002012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27550Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27550.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27549.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of 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 November 5, 2012 Until the Earlier of When Phone Service Is Fully Restored or Friday, November 9, 20122012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27549Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27549.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27548.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Suspension of 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 November 5, 2012 Until the Earlier of When Phone Service Is Fully Restored or Friday, November 9, 20122012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27548Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27548.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27527.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan2012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27527Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27527.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27511.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27511Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27511.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27510.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years2012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27510Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27510.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27509.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27509Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27509.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27494.htmlNotice - Fidelity Aberdeen Street Trust, et al.;2012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27494Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27494.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27493.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule2012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27493Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27493.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27492.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule2012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27492Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27492.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27491.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on BOX2012-11-13T00:00:00-08:002012-11-13T00:00:00-08:002012-27491Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27491.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27530.htmlNotice - Sunshine Act Meeting2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27530Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27530.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27529.htmlNotice - Sunshine Act Meeting2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27529Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27529.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27528.htmlNotice - Sunshine Act Meeting2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27528Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27528.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27364.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the PowerShares S&P 500 Downside Hedged Portfolio Under NYSE Arca Equities Rule 8.6002012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27364Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27364.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27363.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Remove Dividend Spreads From the List of Strategy Executions for Which Fee Caps Apply2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27363Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27363.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27362.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Amex Options Fee Schedule To Remove Dividend Spreads From the List of Strategy Executions for Which Fee Caps Apply2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27362Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27362.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27361.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to System Access, Connectivity, and Testing2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27361Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27361.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27360.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to System Access, Connectivity, and Testing2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27360Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27360.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27357.htmlNotice - Self-Regulatory Organizations; The National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 52 (Mutual Fund Services) and Addendum A (NSCC's Fee Structure)2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27357Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27357.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27356.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Several NASDAQ Rules To Reflect Changes to Rules of the Financial Industry Regulatory Authority (“FINRA”)2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27356Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27356.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27355.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Provide for a Customer Clearing Model for CDS Products and To Amend, Clarify and Consolidate Certain Rules and Procedures2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27355Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27355.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27354.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Applicability of OCC's Rules Governing Delivery of Treasury Securities Underlying Treasury Futures Contracts to Futures on Treasury Securities With Maturities of Greater Than 25 Years2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27354Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27354.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27353.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Make Changes to Certain Fees and Credits Within the New York Stock Exchange LLC Price List2012-11-09T00:00:00-08:002012-11-09T00:00:00-08:002012-27353Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27353.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27318.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to CBSX Rule 53.242012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27318Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27318.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27317.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the By-Laws of FINRA Dispute Resolution, Inc. To Clarify That Services Provided by Mediators Should Not Cause Them To Be Classified as Industry Members Under the By-Laws2012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27317Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27317.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27294.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposal Regarding Quote Mitigation2012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27294Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27294.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27293.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis2012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27293Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27293.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27292.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1 Thereto, Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis2012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27292Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27292.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27291.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Fees on the New York Block Exchange2012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27291Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27291.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27290.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Extending the FLEX Exercise Settlement Values Pilot2012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27290Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27290.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27289.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual, Which Describes Certain Complimentary Products and Services That Are Offered to Certain Issuers2012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27289Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27289.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27288.htmlNotice - Arden Investment Series Trust and Arden Asset Management LLC; Notice of Application2012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27288Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27288.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27266.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Consisting of Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-342012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27266Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27266.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27265.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2012-11-08T00:00:00-08:002012-11-08T00:00:00-08:002012-27265Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27265.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/C1-2012-23439.htmlNotice - 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 Reviews2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:00C1-2012-23439Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/C1-2012-23439.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27222.htmlNotice - 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 Orders2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27222Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27222.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27221.htmlNotice - 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, 20122012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27221Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27221.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27220.htmlNotice - 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, 20122012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27220Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27220.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27219.htmlNotice - 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 Conditions2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27219Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27219.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27214.htmlNotice - 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 Conditions2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27214Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27214.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27213.htmlNotice - 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 Division2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27213Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27213.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27212.htmlNotice - 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 Trades2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27212Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27212.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27211.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Branch Offices2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27211Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27211.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27140.htmlNotice - Submission for OMB Review; Comment Request2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27140Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27140.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27139.htmlNotice - Proposed Collection; Comment Request2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27139Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27139.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27138.htmlNotice - Submission for OMB Review; Comment Request2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27138Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27138.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27137.htmlNotice - Submission for OMB Review; Comment Request2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27137Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27137.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27136.htmlNotice - Submission for OMB Review; Comment Request2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27136Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27136.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27135.htmlNotice - Submission of OMB Review; Comment Request2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27135Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27135.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27134.htmlNotice - Submission for OMB Review; Comment Request2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27134Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27134.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27133.htmlNotice - Submission for OMB Review; Comment Request2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27133Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27133.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27132.htmlNotice - Submission for OMB Review; Comment Request2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27132Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27132.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27131.htmlNotice - 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 Securities2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27131Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27131.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27130.htmlNotice - 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 Facilities2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27130Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27130.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27129.htmlNotice - 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 Market2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27129Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27129.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27081.htmlNotice - 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; Correction2012-11-07T00:00:00-08:002012-11-07T00:00:00-08:002012-27081Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27081.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27128.htmlNotice - Sunshine Act Meeting Notice2012-11-06T00:00:00-08:002012-11-06T00:00:00-08:002012-27128Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-06/pdf/2012-27128.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27033.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Apply the Position Limit Exemption Rules of NASDAQ OMX PHLX LLC For Certain Index Options2012-11-06T00:00:00-08:002012-11-06T00:00:00-08:002012-27033Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-06/pdf/2012-27033.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27001.htmlNotice - Salient Advisors, L.P. and MarketShares ETF Trust; Notice of Application2012-11-06T00:00:00-08:002012-11-06T00:00:00-08:002012-27001Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-06/pdf/2012-27001.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27000.htmlNotice - Self-Regulatory Organizations; NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Adopt Several NASDAQ Rules To Reflect Changes To Rules of the Financial Industry Regulatory Authority (“FINRA”)2012-11-06T00:00:00-08:002012-11-06T00:00:00-08:002012-27000Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-06/pdf/2012-27000.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26946.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Its Corporate Actions Service in Order To Introduce a New Standard To Communicate Certain Corporate Actions Information to Participants2012-11-05T00:00:00-08:002012-11-05T00:00:00-08:002012-26946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-05/pdf/2012-26946.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26910.htmlNotice - Van Eck Funds, et al.; Notice of Application2012-11-05T00:00:00-08:002012-11-05T00:00:00-08:002012-26910Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-05/pdf/2012-26910.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26909.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Clearance and Settlement of Over-the-Counter Options2012-11-05T00:00:00-08:002012-11-05T00:00:00-08:002012-26909Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-05/pdf/2012-26909.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26863.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402012-11-02T00:00:00-07:002012-11-02T00:00:00-07:002012-26863Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26863.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26861.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change To Amend Rules in Connection With Status as a “Deemed Registered” Clearing Agency2012-11-02T00:00:00-07:002012-11-02T00:00:00-07:002012-26861Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26861.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26860.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Clear Western European Sovereign CDS Contracts2012-11-02T00:00:00-07:002012-11-02T00:00:00-07:002012-26860Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26860.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26859.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 140 and 141 of the NYSE MKT LLC Company Guide To Amend Annual Fees and Certain Other Listing Fees Included Therein and To Make Technical and Conforming Changes2012-11-02T00:00:00-07:002012-11-02T00:00:00-07:002012-26859Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26859.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26858.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Elimination of Market Maker Pre-Opening Obligations on BX Options2012-11-02T00:00:00-07:002012-11-02T00:00:00-07:002012-26858Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26858.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26857.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend Rule 4626-Limitation of Liability2012-11-02T00:00:00-07:002012-11-02T00:00:00-07:002012-26857Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26857.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26856.htmlNotice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members2012-11-02T00:00:00-07:002012-11-02T00:00:00-07:002012-26856Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26856.pdfhttps://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26854.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Extension of Review Period of Advance Notice To Establish the Legal and Operational Framework for Providing Central Clearing of OTC Index Options on the S&P 500 Index That Are Negotiated Bilaterally in the Over-the-Counter Market and Submitted to OCC for Clearance2012-11-02T00:00:00-07:002012-11-02T00:00:00-07:002012-26854Noticehttp://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26854.pdf