<![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?registers=between&min-day=1&max-day=30 Tue, 30 Apr 2024 12:49:01 -0700 Tue, 30 Apr 2024 12:49:01 -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?registers=between&min-day=1&max-day=30 Proposed Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers https://regulations.justia.com/regulations/fedreg/2012/11/30/C1-2012-26164.html https://regulations.justia.com/regulations/fedreg/2012/11/30/C1-2012-26164.html Fri, 30 Nov 2012 00:00:00 -0800 C1-2012-26164 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/C1-2012-26164.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28987.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28987.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28987 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28987.pdf Notice - Blackstone Alternative Alpha Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28951.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28951.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28951 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28951.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28950.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28950.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28950 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28950.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28949.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28949.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28949 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28949.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28948.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28948.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28948 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28948.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28947.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28947.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28947 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28947.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28946.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28946.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28946 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28946.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28945.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28945.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28945 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28945.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28944.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28944.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28944 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28944.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28943.html https://regulations.justia.com/regulations/fedreg/2012/11/30/2012-28943.html Fri, 30 Nov 2012 00:00:00 -0800 2012-28943 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-30/pdf/2012-28943.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2012/11/29/2012-28952.html https://regulations.justia.com/regulations/fedreg/2012/11/29/2012-28952.html Thu, 29 Nov 2012 00:00:00 -0800 2012-28952 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-29/pdf/2012-28952.pdf Notice - 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 Comment https://regulations.justia.com/regulations/fedreg/2012/11/29/2012-28900.html https://regulations.justia.com/regulations/fedreg/2012/11/29/2012-28900.html Thu, 29 Nov 2012 00:00:00 -0800 2012-28900 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-29/pdf/2012-28900.pdf Notice - 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 List https://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28799.html https://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28799.html Wed, 28 Nov 2012 00:00:00 -0800 2012-28799 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-28/pdf/2012-28799.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28798.html https://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28798.html Wed, 28 Nov 2012 00:00:00 -0800 2012-28798 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-28/pdf/2012-28798.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28797.html https://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28797.html Wed, 28 Nov 2012 00:00:00 -0800 2012-28797 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-28/pdf/2012-28797.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28796.html https://regulations.justia.com/regulations/fedreg/2012/11/28/2012-28796.html Wed, 28 Nov 2012 00:00:00 -0800 2012-28796 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-28/pdf/2012-28796.pdf 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 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28685.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28685.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28685 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28685.pdf Notice - 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 Accounts https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28595.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28595.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28595 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28595.pdf Notice - 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 Accounts https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28594.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28594.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28594 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28594.pdf Notice - 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 Ports https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28593.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28593.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28593 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28593.pdf Notice - 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 Accounts https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28592.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28592.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28592 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28592.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28535.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28535.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28535 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28535.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28534.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28534.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28534 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28534.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28533.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28533.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28533 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28533.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28532.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28532.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28532 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28532.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28531.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28531.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28531 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28531.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28530.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28530.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28530 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28530.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28529.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28529.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28529 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28529.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28528.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28528.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28528 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28528.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28527.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28527.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28527 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28527.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28526.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28526.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28526 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28526.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28525.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28525.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28525 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28525.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28524.html https://regulations.justia.com/regulations/fedreg/2012/11/26/2012-28524.html Mon, 26 Nov 2012 00:00:00 -0800 2012-28524 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-26/pdf/2012-28524.pdf Rule - Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28456.html https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28456.html Fri, 23 Nov 2012 00:00:00 -0800 2012-28456 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28456.pdf Rule - Disclosure of Payments by Resource Extraction Issuers https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28455.html https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28455.html Fri, 23 Nov 2012 00:00:00 -0800 2012-28455 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28455.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28390.html https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28390.html Fri, 23 Nov 2012 00:00:00 -0800 2012-28390 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28390.pdf Notice - Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28385.html https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28385.html Fri, 23 Nov 2012 00:00:00 -0800 2012-28385 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28385.pdf Notice - 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 Contract https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28384.html https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28384.html Fri, 23 Nov 2012 00:00:00 -0800 2012-28384 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28384.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Correct Rule Numbering Errors https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28383.html https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28383.html Fri, 23 Nov 2012 00:00:00 -0800 2012-28383 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28383.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28353.html https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28353.html Fri, 23 Nov 2012 00:00:00 -0800 2012-28353 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28353.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28352.html https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-28352.html Fri, 23 Nov 2012 00:00:00 -0800 2012-28352 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-28352.pdf Proposed Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-26164.html https://regulations.justia.com/regulations/fedreg/2012/11/23/2012-26164.html Fri, 23 Nov 2012 00:00:00 -0800 2012-26164 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2012-11-23/pdf/2012-26164.pdf Notice - 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 Issuers https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28299.html https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28299.html Wed, 21 Nov 2012 00:00:00 -0800 2012-28299 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28299.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28265.html https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28265.html Wed, 21 Nov 2012 00:00:00 -0800 2012-28265 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28265.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change To Amend the Customer Large Trade Discount https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28264.html https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28264.html Wed, 21 Nov 2012 00:00:00 -0800 2012-28264 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28264.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28263.html https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28263.html Wed, 21 Nov 2012 00:00:00 -0800 2012-28263 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28263.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Weekly Options Program https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28262.html https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28262.html Wed, 21 Nov 2012 00:00:00 -0800 2012-28262 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28262.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28261.html https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28261.html Wed, 21 Nov 2012 00:00:00 -0800 2012-28261 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28261.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28260.html https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28260.html Wed, 21 Nov 2012 00:00:00 -0800 2012-28260 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28260.pdf Notice - 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 Close https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28259.html https://regulations.justia.com/regulations/fedreg/2012/11/21/2012-28259.html Wed, 21 Nov 2012 00:00:00 -0800 2012-28259 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-21/pdf/2012-28259.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28354.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28354.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28354 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28354.pdf Notice - 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 Committees https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28192.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28192.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28192 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28192.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28176.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28176.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28176 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28176.pdf Notice - 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 Ports https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28148.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28148.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28148 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28148.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28146.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28146.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28146 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28146.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28145.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28145.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28145 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28145.pdf Notice - 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 Ports https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28144.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28144.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28144 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28144.pdf Notice - 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 Facilities https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28143.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28143.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28143 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28143.pdf Notice - 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 Ports https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28137.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28137.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28137 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28137.pdf Notice - 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 Ports https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28136.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28136.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28136 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28136.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Order Cancellation Fee https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28135.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28135.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28135 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28135.pdf Notice - 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 Obligations https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28134.html https://regulations.justia.com/regulations/fedreg/2012/11/20/2012-28134.html Tue, 20 Nov 2012 00:00:00 -0800 2012-28134 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-20/pdf/2012-28134.pdf Notice - Order of Suspension of Trading; In The Matter of American Realty Funds Corporation https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28147.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28147.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28147 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28147.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to SQT and RSQT Evaluations https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28066.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28066.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28066 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28066.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28065.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28065.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28065 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28065.pdf Notice - 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 Thereunder https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28049.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28049.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28049 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28049.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28016.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28016.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28016 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28016.pdf Notice - Columbia ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28006.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28006.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28006 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28006.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Interim Rule Change Relating to Rule 440B(b) https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28005.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28005.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28005 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28005.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee and Rebate Schedule https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28004.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28004.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28004 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28004.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28003.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28003.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28003 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28003.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, November 16, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28002.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28002.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28002 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28002.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, November 16, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28001.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28001.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28001 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28001.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28000.html https://regulations.justia.com/regulations/fedreg/2012/11/19/2012-28000.html Mon, 19 Nov 2012 00:00:00 -0800 2012-28000 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-19/pdf/2012-28000.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-28048.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-28048.html Fri, 16 Nov 2012 00:00:00 -0800 2012-28048 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-28048.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-28017.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-28017.html Fri, 16 Nov 2012 00:00:00 -0800 2012-28017 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-28017.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27925.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27925.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27925 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27925.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27924.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27924.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27924 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27924.pdf Notice - Highland Associates, Inc. and Financial Investors Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27875.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27875.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27875 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27875.pdf Notice - 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 Regulations https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27873.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27873.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27873 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27873.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee and Rebate Schedule https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27872.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27872.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27872 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27872.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27871.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27871.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27871 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27871.pdf Notice - 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 1059 https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27870.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27870.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27870 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27870.pdf Notice - 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 1059 https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27869.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27869.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27869 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27869.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27868.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27868.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27868 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27868.pdf Notice - 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 Symbols https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27819.html https://regulations.justia.com/regulations/fedreg/2012/11/16/2012-27819.html Fri, 16 Nov 2012 00:00:00 -0800 2012-27819 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-16/pdf/2012-27819.pdf 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 Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27628.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27628.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27628 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27628.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27608.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27608.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27608 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27608.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27607.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27607.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27607 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27607.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27606.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27606.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27606 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27606.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27604.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27604.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27604 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27604.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27603.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27603.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27603 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27603.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27602.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27602.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27602 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27602.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27601.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27601.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27601 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27601.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change To Amend the Price Improvement Period https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27600.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27600.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27600 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27600.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27599.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27599.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27599 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27599.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27598.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27598.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27598 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27598.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27597.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27597.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27597 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27597.pdf Notice - 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 Reviews https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27574.html https://regulations.justia.com/regulations/fedreg/2012/11/14/2012-27574.html Wed, 14 Nov 2012 00:00:00 -0800 2012-27574 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-14/pdf/2012-27574.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27647.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27647.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27647 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27647.pdf Notice - 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 8.200 https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27551.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27551.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27551 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27551.pdf Notice - 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 8.200 https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27550.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27550.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27550 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27550.pdf Notice - 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, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27549.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27549.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27549 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27549.pdf Notice - 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, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27548.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27548.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27548 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27548.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27527.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27527.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27527 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27527.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27511.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27511.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27511 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27511.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27510.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27510.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27510 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27510.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27509.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27509.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27509 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27509.pdf Notice - Fidelity Aberdeen Street Trust, et al.; https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27494.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27494.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27494 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27494.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27493.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27493.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27493 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27493.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27492.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27492.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27492 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27492.pdf Notice - 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 BOX https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27491.html https://regulations.justia.com/regulations/fedreg/2012/11/13/2012-27491.html Tue, 13 Nov 2012 00:00:00 -0800 2012-27491 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-13/pdf/2012-27491.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27530.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27530.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27530 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27530.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27529.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27529.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27529 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27529.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27528.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27528.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27528 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27528.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27364.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27364.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27364 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27364.pdf Notice - 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 Apply https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27363.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27363.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27363 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27363.pdf Notice - 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 Apply https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27362.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27362.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27362 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27362.pdf Notice - 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 Testing https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27361.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27361.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27361 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27361.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to System Access, Connectivity, and Testing https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27360.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27360.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27360 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27360.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27357.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27357.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27357 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27357.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27356.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27356.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27356 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27356.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27355.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27355.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27355 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27355.pdf Notice - 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 Years https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27354.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27354.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27354 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27354.pdf Notice - 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 List https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27353.html https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27353.html Fri, 09 Nov 2012 00:00:00 -0800 2012-27353 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-09/pdf/2012-27353.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to CBSX Rule 53.24 https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27318.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27318.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27318 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27318.pdf Notice - 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-Laws https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27317.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27317.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27317 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27317.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposal Regarding Quote Mitigation https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27294.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27294.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27294 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27294.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27293.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27293.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27293 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27293.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27292.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27292.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27292 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27292.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27291.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27291.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27291 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27291.pdf Notice - 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 Pilot https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27290.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27290.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27290 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27290.pdf Notice - 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 Issuers https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27289.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27289.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27289 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27289.pdf Notice - Arden Investment Series Trust and Arden Asset Management LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27288.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27288.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27288 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27288.pdf Notice - 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-34 https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27266.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27266.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27266 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27266.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27265.html https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27265.html Thu, 08 Nov 2012 00:00:00 -0800 2012-27265 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-08/pdf/2012-27265.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rules Regarding Requests for Data Related to Exchange Reviews https://regulations.justia.com/regulations/fedreg/2012/11/07/C1-2012-23439.html https://regulations.justia.com/regulations/fedreg/2012/11/07/C1-2012-23439.html Wed, 07 Nov 2012 00:00:00 -0800 C1-2012-23439 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/C1-2012-23439.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Amex Options LLC Fee Schedule To Amend the Fees for Specialists and eSpecialists Relating to Qualified Contingent Cross Orders https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27222.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27222.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27222 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27222.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend Those Aspects of Rules 36.20-Equities, 36.21-Equities, and 36.30-Equities That Would Not Permit Designated Market Makers and Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 2, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27221.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27221.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27221 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27221.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Suspend Those Aspects of Rules 36.20, 36.21, and 36.30 That Would Not Permit Designated Market Makers and Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service Is Fully Restored or Friday, November 2, 2012 https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27220.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27220.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27220 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27220.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Commentary .06 to NYSE Arca Options Rule 6.4 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27219.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27219.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27219 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27219.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Commentary .04 to NYSE Amex Options Rule 903 To Permit the Exchange To List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27214.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27214.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27214 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27214.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Clarify a Stated Policy With Regard to Existing Provisions of the Loss Allocation Rules of the Government Securities Division and the Mortgage-Backed Securities Division https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27213.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27213.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27213 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27213.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 968NY To Allow for the Split-Price Priority Provisions To Apply to Open Outcry Trading of Cabinet Trades https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27212.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27212.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27212 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27212.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Branch Offices https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27211.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27211.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27211 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27211.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27140.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27140.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27140 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27140.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27139.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27139.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27139 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27139.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27138.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27138.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27138 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27138.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27137.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27137.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27137 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27137.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27136.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27136.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27136 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27136.pdf Notice - Submission of OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27135.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27135.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27135 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27135.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27134.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27134.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27134 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27134.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27133.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27133.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27133 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27133.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27132.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27132.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27132 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27132.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of Certain Securities https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27131.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27131.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27131 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27131.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise the Method for Determining the Minimum Clearing Fund Size To Include Consideration of the Amount Necessary To Draw on Secured Credit Facilities https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27130.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27130.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27130 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27130.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Annual Fees for Companies Listed on the Nasdaq Capital Market https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27129.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27129.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27129 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27129.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions; Correction https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27081.html https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27081.html Wed, 07 Nov 2012 00:00:00 -0800 2012-27081 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-07/pdf/2012-27081.pdf Notice - Sunshine Act Meeting Notice https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27128.html https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27128.html Tue, 06 Nov 2012 00:00:00 -0800 2012-27128 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-06/pdf/2012-27128.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27033.html https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27033.html Tue, 06 Nov 2012 00:00:00 -0800 2012-27033 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-06/pdf/2012-27033.pdf Notice - Salient Advisors, L.P. and MarketShares ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27001.html https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27001.html Tue, 06 Nov 2012 00:00:00 -0800 2012-27001 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-06/pdf/2012-27001.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27000.html https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27000.html Tue, 06 Nov 2012 00:00:00 -0800 2012-27000 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-06/pdf/2012-27000.pdf Notice - 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 Participants https://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26946.html https://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26946.html Mon, 05 Nov 2012 00:00:00 -0800 2012-26946 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-05/pdf/2012-26946.pdf Notice - Van Eck Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26910.html https://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26910.html Mon, 05 Nov 2012 00:00:00 -0800 2012-26910 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-05/pdf/2012-26910.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26909.html https://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26909.html Mon, 05 Nov 2012 00:00:00 -0800 2012-26909 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-05/pdf/2012-26909.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26863.html https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26863.html Fri, 02 Nov 2012 00:00:00 -0700 2012-26863 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26863.pdf Notice - 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 Agency https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26861.html https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26861.html Fri, 02 Nov 2012 00:00:00 -0700 2012-26861 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26861.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Clear Western European Sovereign CDS Contracts https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26860.html https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26860.html Fri, 02 Nov 2012 00:00:00 -0700 2012-26860 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26860.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26859.html https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26859.html Fri, 02 Nov 2012 00:00:00 -0700 2012-26859 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26859.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26858.html https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26858.html Fri, 02 Nov 2012 00:00:00 -0700 2012-26858 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26858.pdf Notice - 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 Liability https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26857.html https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26857.html Fri, 02 Nov 2012 00:00:00 -0700 2012-26857 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26857.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26856.html https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26856.html Fri, 02 Nov 2012 00:00:00 -0700 2012-26856 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26856.pdf Notice - 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 Clearance https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26854.html https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26854.html Fri, 02 Nov 2012 00:00:00 -0700 2012-26854 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-11-02/pdf/2012-26854.pdf