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

Results 201 - 211 of 211
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules To Delete Obsolete and Out-Dated Rules
Document Number: 2012-29216
Type: Notice
Date: 2012-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29216.html
Self-Regulatory Organizations; BATS Exchange, Inc.; NASDAQ OMX BX Inc.; Chicago Board Options Exchange, Incorporated; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Arca LLC; NYSE MKT, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
Document Number: 2012-29180
Type: Notice
Date: 2012-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29180.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Moving the Rule Text That Provides for Pegging on the Exchange From Supplementary Material .26 of Rule 70-Equities to Rule 13-Equities and Amending Such Text to (i) Permit Designated Market Maker Interest To Be Set as Pegging Interest; (ii) Change References From National Best Bid, National Best Offer and National Best Bid or Offer to Best Protected Bid, Best Protected Offer and Best Protected Bid or Offer, Respectively; (iii) Permit Pegging Interest To Peg to the Opposite Side of the Market; and (iv) Provide for An Offset Value To Be Specified for Pegging Interest
Document Number: 2012-29179
Type: Notice
Date: 2012-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29179.html
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Document Number: 2012-29149
Type: Proposed Rule
Date: 2012-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on them.
https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29149.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 2, To Adopt a Retail Price Improvement Program
Document Number: 2012-29078
Type: Notice
Date: 2012-12-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/03/2012-29078.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Moving the Rule Text That Provides for Pegging on the Exchange From Supplementary Material .26 of NYSE Rule 70 to NYSE Rule 13 and Amending Such Text to (i) Permit Designated Market Maker Interest To Be Set as Pegging Interest; (ii) Change References From National Best Bid, National Best Offer and National Best Bid or Offer to Best Protected Bid, Best Protected Offer and Best Protected Bid or Offer, Respectively; (iii) Permit Pegging Interest To Peg to the Opposite Side of the Market; and (iv) Provide for An Offset Value To Be Specified for Pegging Interest
Document Number: 2012-29077
Type: Notice
Date: 2012-12-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/03/2012-29077.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Amend CBOE Rule 6.18 Concerning the Exchange's Disaster Recovery Facility
Document Number: 2012-29076
Type: Notice
Date: 2012-12-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/03/2012-29076.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct One Term in the ICC Rules
Document Number: 2012-29075
Type: Notice
Date: 2012-12-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/03/2012-29075.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 7110 Regarding Session Orders
Document Number: 2012-29074
Type: Notice
Date: 2012-12-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/03/2012-29074.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EEM Options Position Limits
Document Number: 2012-29073
Type: Notice
Date: 2012-12-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/12/03/2012-29073.html
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers; Correction
Document Number: 2012-29048
Type: Proposed Rule
Date: 2012-12-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Technical corrections are being made to the Commission's Release No. 34-68071, which proposed capital and margin requirements for security-based swap dealers (``SBSDs'') and major security-based swap participants (``MSBSPs''), segregation requirements for SBSDs, and notification requirements with respect to segregation for SBSDs and MSBSPs, as well as increases to the minimum net capital requirements for broker-dealers permitted to use the alternative internal model- based method for computing net capital.
https://regulations.justia.com/regulations/fedreg/2012/12/03/2012-29048.html
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