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

Results 151 - 200 of 203
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
Document Number: 2012-27354
Type: Notice
Date: 2012-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27354.html
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
Document Number: 2012-27353
Type: Notice
Date: 2012-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/09/2012-27353.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to CBSX Rule 53.24
Document Number: 2012-27318
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27318.html
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
Document Number: 2012-27317
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27317.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposal Regarding Quote Mitigation
Document Number: 2012-27294
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27294.html
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
Document Number: 2012-27293
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27293.html
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
Document Number: 2012-27292
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27292.html
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
Document Number: 2012-27291
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27291.html
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
Document Number: 2012-27290
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27290.html
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
Document Number: 2012-27289
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27289.html
Arden Investment Series Trust and Arden Asset Management LLC; Notice of Application
Document Number: 2012-27288
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27288.html
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
Document Number: 2012-27266
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27266.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2012-27265
Type: Notice
Date: 2012-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/08/2012-27265.html
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
Document Number: C1-2012-23439
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/C1-2012-23439.html
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
Document Number: 2012-27222
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27222.html
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
Document Number: 2012-27221
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27221.html
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
Document Number: 2012-27220
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27220.html
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
Document Number: 2012-27219
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27219.html
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
Document Number: 2012-27214
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27214.html
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
Document Number: 2012-27213
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27213.html
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
Document Number: 2012-27212
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27212.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Branch Offices
Document Number: 2012-27211
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27211.html
Submission for OMB Review; Comment Request
Document Number: 2012-27140
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27140.html
Proposed Collection; Comment Request
Document Number: 2012-27139
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27139.html
Submission for OMB Review; Comment Request
Document Number: 2012-27138
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27138.html
Submission for OMB Review; Comment Request
Document Number: 2012-27137
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27137.html
Submission for OMB Review; Comment Request
Document Number: 2012-27136
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27136.html
Submission of OMB Review; Comment Request
Document Number: 2012-27135
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27135.html
Submission for OMB Review; Comment Request
Document Number: 2012-27134
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27134.html
Submission for OMB Review; Comment Request
Document Number: 2012-27133
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27133.html
Submission for OMB Review; Comment Request
Document Number: 2012-27132
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27132.html
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
Document Number: 2012-27131
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27131.html
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
Document Number: 2012-27130
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27130.html
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
Document Number: 2012-27129
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27129.html
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
Document Number: 2012-27081
Type: Notice
Date: 2012-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published a document in the Federal Register on October 26, 2012, concerning an 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. The document contained a typographical error.
https://regulations.justia.com/regulations/fedreg/2012/11/07/2012-27081.html
Sunshine Act Meeting Notice
Document Number: 2012-27128
Type: Notice
Date: 2012-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27128.html
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
Document Number: 2012-27033
Type: Notice
Date: 2012-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27033.html
Salient Advisors, L.P. and MarketShares ETF Trust; Notice of Application
Document Number: 2012-27001
Type: Notice
Date: 2012-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27001.html
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”)
Document Number: 2012-27000
Type: Notice
Date: 2012-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/06/2012-27000.html
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
Document Number: 2012-26946
Type: Notice
Date: 2012-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26946.html
Van Eck Funds, et al.; Notice of Application
Document Number: 2012-26910
Type: Notice
Date: 2012-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26910.html
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
Document Number: 2012-26909
Type: Notice
Date: 2012-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/05/2012-26909.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2012-26863
Type: Notice
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On June 29, 2012, applicant made a final liquidating distribution to its shareholders, based on net asset value. Expenses of $6,500 incurred in connection with the liquidation were paid by Acadia Mutual Fund Management, LLC, applicant's investment adviser. Filing Dates: The application was filed on August 23, 2012, and amended on October 3, 2012. Applicant's Address: One Penn Plaza, 36th Floor, New York, NY 10119.
https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26863.html
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
Document Number: 2012-26861
Type: Notice
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26861.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Clear Western European Sovereign CDS Contracts
Document Number: 2012-26860
Type: Notice
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26860.html
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
Document Number: 2012-26859
Type: Notice
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26859.html
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
Document Number: 2012-26858
Type: Notice
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26858.html
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
Document Number: 2012-26857
Type: Notice
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26857.html
Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members
Document Number: 2012-26856
Type: Notice
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26856.html
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
Document Number: 2012-26854
Type: Notice
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/11/02/2012-26854.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.