<![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/2012/12/31?registers=between Mon, 20 May 2024 08:40:42 -0700 Mon, 20 May 2024 08:40:42 -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/2012/12/31?registers=between Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31415.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31415.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31415 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31415.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire the Automated Quote Management Functionality Described Under Rules 4613(a)(2)(F) and (G), and Make Conforming Changes to Rule 4751(f)(15) https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31413.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31413.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31413 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31413.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT LLC 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/2012/12/31/2012-31412.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31412.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31412 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31412.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31411.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31411.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31411 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31411.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish the Market Quality Program https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31410.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31410.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31410 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31410.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31260.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31260.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31260 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31260.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Schedule of Fees, Effective January 2, 2013, to Charge Non-Clearing Member Subscribers of Certain Non-Proprietary Data an Additional Monthly Fee to Accommodate Request for Such Data on a Real-Time Basis https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31259.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31259.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31259 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31259.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Interpretative Guidance Relating to the Adjustment of Stock Options and Single Stock Futures for Cash Dividends and Distributions on Underlying Securities https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31258.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31258.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31258 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31258.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 for the December 20, 2012 Index Maturity https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31257.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31257.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31257 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31257.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31256.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31256.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31256 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31256.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31254.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31254.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31254 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31254.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Implement Requirements of Commodity Futures Trading Commission Rule 39.13(g)(8)(ii) https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31253.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31253.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31253 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31253.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 953NY-Trading Halts and Suspensions https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31247.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31247.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31247 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31247.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Distribution of Auction Messages https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31246.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31246.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31246 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31246.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31245.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31245.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31245 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31245.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31241.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31241.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31241 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31241.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting NYSE Rules 95(c) and (d) and Related Supplementary Material https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31240.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31240.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31240 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31240.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d)-Equities and Related Supplementary Material https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31239.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31239.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31239 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31239.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change With Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31238.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31238.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31238 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31238.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31236.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31236.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31236 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31236.pdf Notice - Pyxis Capital, L.P., et al.; https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31235.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31235.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31235 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31235.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31223.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31223.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31223 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31223.pdf Rule - Temporary Rule Regarding Principal Trades With Certain Advisory Clients https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31221.html https://regulations.justia.com/regulations/fedreg/2012/12/31/2012-31221.html Mon, 31 Dec 2012 00:00:00 -0800 2012-31221 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-12-31/pdf/2012-31221.pdf