<![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?registers=between&min-day=1&min-month=1&max-day=31&max-month=12 Sat, 27 Apr 2024 13:09:39 -0700 Sat, 27 Apr 2024 13:09:39 -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?registers=between&min-day=1&min-month=1&max-day=31&max-month=12 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 Notice - Decimalization Roundtable https://regulations.justia.com/regulations/fedreg/2012/12/28/2012-31162.html https://regulations.justia.com/regulations/fedreg/2012/12/28/2012-31162.html Fri, 28 Dec 2012 00:00:00 -0800 2012-31162 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-28/pdf/2012-31162.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to SPX Combo Orders https://regulations.justia.com/regulations/fedreg/2012/12/28/2012-31154.html https://regulations.justia.com/regulations/fedreg/2012/12/28/2012-31154.html Fri, 28 Dec 2012 00:00:00 -0800 2012-31154 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-28/pdf/2012-31154.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees and a Participant Fee https://regulations.justia.com/regulations/fedreg/2012/12/28/2012-31153.html https://regulations.justia.com/regulations/fedreg/2012/12/28/2012-31153.html Fri, 28 Dec 2012 00:00:00 -0800 2012-31153 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-28/pdf/2012-31153.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify a Level 2 Subscriber Fee and Related Rule Clarifications https://regulations.justia.com/regulations/fedreg/2012/12/28/2012-31152.html https://regulations.justia.com/regulations/fedreg/2012/12/28/2012-31152.html Fri, 28 Dec 2012 00:00:00 -0800 2012-31152 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-28/pdf/2012-31152.pdf Notice - Franklin Advisers, Inc., et al.; https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31131.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31131.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31131 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31131.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delivery Procedures To Reflect the Clearing Relationship for ICE Futures U.S. Inc. https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31130.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31130.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31130 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31130.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice and Notice of No Objection Relating to the Replacement of the Prepayment Component of the Value-at-Risk Charge https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31129.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31129.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31129 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31129.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptance of Letters of Credit or Pass-Through Letters of Credit Deposits From Non-Financial Institution Energy Clearing Members https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31128.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31128.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31128 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31128.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Intra-Day Margin Calling Policy for Energy Clearing Members https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31127.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31127.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31127 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31127.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Position Allocation Methodology for SPAN Margin Calculation Extended to Three Additional Calendar Spread Options https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31126.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31126.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31126 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31126.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Position Allocation Methodology to Margin Calculations for Two Additional OTC Spread Swap Futures Contracts https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31125.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31125.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31125 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31125.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31124.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31124.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31124 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31124.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 504(f) 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/2012/12/27/2012-31123.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31123.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31123 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31123.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Applicable to its OTC Credit Default Swap Clearing Offering https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31122.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31122.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31122 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31122.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Minor Rule Violation Plan for BOX Options Exchange LLC https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31121.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31121.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31121 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31121.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Guggenheim Enhanced Total Return ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31120.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31120.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31120 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31120.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule To Amend Various CBOE Rules Governing Letters of Guarantee and Authorization https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31119.html https://regulations.justia.com/regulations/fedreg/2012/12/27/2012-31119.html Thu, 27 Dec 2012 00:00:00 -0800 2012-31119 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-27/pdf/2012-31119.pdf Notice - New Generation Biofuels Holdings, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31151.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31151.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31151 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31151.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31030.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31030.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31030 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31030.pdf Notice - IAS Energy, Inc., IB3 Networks, Inc., IBroadband, Inc., ICP Solar Technologies, Inc., IdentiPHI, Inc., iDNA, Inc., Immune Network Ltd., Inca Designs, Inc., Indico Technologies, Inc. (n/k/a Indico Resources Ltd.), Infopage, Inc. (a/k/a Tamija Gold & Diamond Exploration, Inc.), Innofone.com, Inc. (n/k/a Goldstar Global Minerals Corp.), Instachem Systems, Inc. (n/k/a CH Lighting International Corp.), Interlink-US-Network, Ltd., and International Aerospace Enterprises, Inc.,; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31023.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31023.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31023 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31023.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31022.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31022.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31022 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31022.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Add Rules Related to the Clearing of European Corporate Single-Name CDS https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31021.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31021.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31021 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31021.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Add Rules Related to the Clearing of iTraxx Europe Index CDS https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31020.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31020.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31020 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31020.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31019.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31019.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31019 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31019.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31018.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31018.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31018 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31018.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31017.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31017.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31017 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31017.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade PIMCO Foreign Currency Strategy Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31016.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31016.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31016 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31016.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add the Term Chief Legal Officer to the Definition of General Counsel https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31015.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31015.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31015 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31015.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 6.65-Trading Halts and Suspensions https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31014.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31014.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31014 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31014.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Approving a 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/2012/12/26/2012-31013.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31013.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31013 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31013.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31012.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-31012.html Wed, 26 Dec 2012 00:00:00 -0800 2012-31012 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-31012.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit and Order Entry Port Fee https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30981.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30981.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30981 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30981.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30980.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30980.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30980 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30980.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections 902.02 and 902.03 of the New York Stock Exchange LLC Listed Company Manual To Introduce an Initial Application Fee https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30979.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30979.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30979 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30979.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 140 of the NYSE MKT LLC Company Guide To Introduce an Initial Application Fee https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30978.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30978.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30978 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30978.pdf Notice - Yorkville ETF Trust and Yorkville ETF Advisors, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30893.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30893.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30893 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30893.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30892.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30892.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30892 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30892.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of 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 https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30891.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30891.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30891 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30891.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC.; Order Granting Approval of 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 https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30890.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30890.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30890 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30890.pdf Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, ALPS/GS Momentum Builder Growth Markets Equities and U.S. Treasuries Index ETF, ALPS/GS Momentum Builder Multi-Asset Index ETF, and ALPS/GS Momentum Builder Asia ex-Japan Equities and U.S. Treasuries Index ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30889.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30889.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30889 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30889.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade First Trust Preferred Securities and Income ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30888.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30888.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30888 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30888.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 2, To Allow the Listing and Trading of a P.M.-Settled S&P 500 Index Option Product https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30887.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30887.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30887 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30887.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Telemarketing Rules https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30886.html https://regulations.justia.com/regulations/fedreg/2012/12/26/2012-30886.html Wed, 26 Dec 2012 00:00:00 -0800 2012-30886 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-26/pdf/2012-30886.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, January 18, 2013 https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30795.html https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30795.html Fri, 21 Dec 2012 00:00:00 -0800 2012-30795 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-21/pdf/2012-30795.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, January 18, 2013 https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30794.html https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30794.html Fri, 21 Dec 2012 00:00:00 -0800 2012-30794 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-21/pdf/2012-30794.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30793.html https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30793.html Fri, 21 Dec 2012 00:00:00 -0800 2012-30793 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-21/pdf/2012-30793.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30791.html https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30791.html Fri, 21 Dec 2012 00:00:00 -0800 2012-30791 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-21/pdf/2012-30791.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30790.html https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30790.html Fri, 21 Dec 2012 00:00:00 -0800 2012-30790 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-21/pdf/2012-30790.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30789.html https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30789.html Fri, 21 Dec 2012 00:00:00 -0800 2012-30789 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-21/pdf/2012-30789.pdf Notice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rules on Auditing Standard No. 16, Communications With Audit Committees, and Related and Transitional Amendments to PCAOB Standards https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30739.html https://regulations.justia.com/regulations/fedreg/2012/12/21/2012-30739.html Fri, 21 Dec 2012 00:00:00 -0800 2012-30739 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-21/pdf/2012-30739.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving 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/2012/12/20/2012-30689.html https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30689.html Thu, 20 Dec 2012 00:00:00 -0800 2012-30689 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-20/pdf/2012-30689.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102(a) of the NYSE MKT Company Guide To Eliminate an Erroneous Reference https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30688.html https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30688.html Thu, 20 Dec 2012 00:00:00 -0800 2012-30688 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-20/pdf/2012-30688.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify Exchange Rule 11.23 Relating to Auctions of Exchange-Listed Securities https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30687.html https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30687.html Thu, 20 Dec 2012 00:00:00 -0800 2012-30687 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-20/pdf/2012-30687.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Ministerial Changes to the Existing Reorganization Service Guide https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30649.html https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30649.html Thu, 20 Dec 2012 00:00:00 -0800 2012-30649 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-20/pdf/2012-30649.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change To Amend Rules in Connection With Status as a “Deemed Registered” Clearing Agency https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30648.html https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30648.html Thu, 20 Dec 2012 00:00:00 -0800 2012-30648 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-20/pdf/2012-30648.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 To List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30647.html https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30647.html Thu, 20 Dec 2012 00:00:00 -0800 2012-30647 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-20/pdf/2012-30647.pdf Notice - Order Granting Limited Exemptions From Exchange Act Rules 101 and 102 of Regulation M to Shares of JPM XF Physical Copper Trust Pursuant to Exchange Act Rules 101(d) and 102(e) https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30646.html https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30646.html Thu, 20 Dec 2012 00:00:00 -0800 2012-30646 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-20/pdf/2012-30646.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing 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/2012/12/20/2012-30645.html https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30645.html Thu, 20 Dec 2012 00:00:00 -0800 2012-30645 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-20/pdf/2012-30645.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Clear Western European Sovereign CDS Contracts https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30604.html https://regulations.justia.com/regulations/fedreg/2012/12/20/2012-30604.html Thu, 20 Dec 2012 00:00:00 -0800 2012-30604 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-20/pdf/2012-30604.pdf Notice - Spencer Pharmaceutical Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30665.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30665.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30665 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30665.pdf Notice - Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Portfolio Margining of Swaps and Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30553.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30553.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30553 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30553.pdf Notice - AllianceBernstein Active ETFs, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30551.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30551.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30551 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30551.pdf Notice - The Adams Express Company and Petroleum & Resources Corporation; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30548.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30548.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30548 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30548.pdf Notice - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, and Notice of No Objection to Advance Notice, Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30547.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30547.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30547 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30547.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASDAQ's Fees for Order Execution https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30546.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30546.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30546 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30546.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish Fees for New Optional Wireless Connectivity for Co-Located Clients https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30545.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30545.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30545 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30545.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Units of the Sprott Physical Platinum and Palladium Trust Pursuant to NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30503.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30503.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30503 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30503.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Bylaw and Other Changes https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30502.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30502.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30502 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30502.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Bylaw and Other Changes https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30501.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30501.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30501 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30501.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through March 31, 2013 https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30500.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30500.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30500 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30500.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Arca Options Rule 6.72 To Extend the Penny Pilot in Options Classes in Certain Issues Through March 31, 2013 https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30499.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30499.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30499 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30499.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30498.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30498.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30498 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30498.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30497.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30497.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30497 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30497.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/2012/12/19/2012-30496.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30496.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30496 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30496.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/2012/12/19/2012-30495.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30495.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30495 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30495.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding New Rule 956.1NY, Which Will Govern the Submission of Automated Trading Data https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30494.html https://regulations.justia.com/regulations/fedreg/2012/12/19/2012-30494.html Wed, 19 Dec 2012 00:00:00 -0800 2012-30494 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-19/pdf/2012-30494.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available a New Market Data Offering https://regulations.justia.com/regulations/fedreg/2012/12/18/C1-2012-29218.html https://regulations.justia.com/regulations/fedreg/2012/12/18/C1-2012-29218.html Tue, 18 Dec 2012 00:00:00 -0800 C1-2012-29218 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/C1-2012-29218.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30552.html https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30552.html Tue, 18 Dec 2012 00:00:00 -0800 2012-30552 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/2012-30552.pdf Notice - Order Granting Exemptions From Certain Rules of Regulation SHO Related to Hurricane Sandy https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30427.html https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30427.html Tue, 18 Dec 2012 00:00:00 -0800 2012-30427 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/2012-30427.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30406.html https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30406.html Tue, 18 Dec 2012 00:00:00 -0800 2012-30406 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/2012-30406.pdf Rule - Extension of Dates for Certain Requirements and Amendment of Form 19b-4 https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30389.html https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30389.html Tue, 18 Dec 2012 00:00:00 -0800 2012-30389 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/2012-30389.pdf Notice - Cambria Investment Management, L.P. and Cambria ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30380.html https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30380.html Tue, 18 Dec 2012 00:00:00 -0800 2012-30380 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/2012-30380.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the MIAX Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30379.html https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30379.html Tue, 18 Dec 2012 00:00:00 -0800 2012-30379 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/2012-30379.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Require Members To Report the Factor to TRACE in Asset-Backed Security Transactions (Except an Asset-Backed Security Traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30378.html https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30378.html Tue, 18 Dec 2012 00:00:00 -0800 2012-30378 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/2012-30378.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/2012/12/18/2012-30377.html https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30377.html Tue, 18 Dec 2012 00:00:00 -0800 2012-30377 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/2012-30377.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Market Maker Pre-Opening Obligations on BOX https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30376.html https://regulations.justia.com/regulations/fedreg/2012/12/18/2012-30376.html Tue, 18 Dec 2012 00:00:00 -0800 2012-30376 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-18/pdf/2012-30376.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the Pring Turner Business Cycle ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30325.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30325.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30325 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30325.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Amend the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers To Modify Existing Volume-Based Tiers and the Associated Rate per Contract for Certain Electronic Executions https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30324.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30324.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30324 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30324.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategies https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30323.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30323.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30323 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30323.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30321.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30321.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30321 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30321.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 To Allow Manual Orders Entered Into the Exchange's Electronic Order Capture System or Entered Into an Order Entry Device and Contemporaneously Recorded Into the EOC System To Qualify for the Manual Transaction Fee https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30290.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30290.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30290 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30290.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority To Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30273.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30273.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30273 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30273.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate Certain Physically-Settled Options on U.S. Treasury Securities https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30272.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30272.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30272 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30272.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30271.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30271.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30271 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30271.pdf Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving Proposed Rule Change Regarding the Valuation of Securities on Deposit https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30270.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30270.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30270 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30270.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for SOX, OSX and HGX https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30269.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30269.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30269 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30269.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position and Exercise Limits in EEM Options https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30268.html https://regulations.justia.com/regulations/fedreg/2012/12/17/2012-30268.html Mon, 17 Dec 2012 00:00:00 -0800 2012-30268 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-17/pdf/2012-30268.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30326.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30326.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30326 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30326.pdf Notice - In the Matter of the Hartcourt Companies, Inc., Hawksdale Financial Visions, Inc. (n/k/a Advanced Medical Institute, Inc.), Healthcare Providers Direct, Inc., Heartland Oil & Gas Corp., Hellenic Solutions Corp., and HIV-VAC, Inc. (n/k/a Grupo International, Inc.); Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30301.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30301.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30301 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30301.pdf Notice - Encore Clean Energy, Inc., Energy & Engine Technology Corp., Equity Media Holdings Corporation, eTotalSource, Inc., Extensions, Inc., Firepond, Inc., and GNC Energy Corporation; Order Withdrawing Trading Suspension as to Extensions, Inc. https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30299.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30299.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30299 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30299.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ Options Market (“NOM”) With Respect to the Authority of the Exchange or Nasdaq Options Services LLC (“NOS”) To Cancel Options Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account for NOS https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30211.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30211.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30211 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30211.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change With Respect to the Authority of the Exchange or Nasdaq Options Services LLC (“NOS”) To Cancel Options Orders When a Technical or System Issue Occurs and To Describe the Operation of an Error Account for NOS https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30169.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30169.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30169 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30169.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposal with Respect to the Authority of the Exchange or Nasdaq Options Services LLC (“NOS”) To Cancel Options Orders when a Technical or System Issue Occurs and To Describe the Operation of an Error Account for NOS https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30168.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30168.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30168 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30168.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/2012/12/14/2012-30167.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30167.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30167 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30167.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/2012/12/14/2012-30166.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30166.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30166 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30166.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the iShares Sovereign Screened Global Bond Fund https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30165.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30165.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30165 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30165.pdf Notice - Self-Regulatory Organizations; The 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/2012/12/14/2012-30164.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30164.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30164 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30164.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(7) To Permit PL Select Orders To Interact With Incoming Orders Larger Than the Size of the PL Select Order https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30163.html https://regulations.justia.com/regulations/fedreg/2012/12/14/2012-30163.html Fri, 14 Dec 2012 00:00:00 -0800 2012-30163 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-14/pdf/2012-30163.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Establish Optional TRACE Data Delivery Services and Related Fees https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30106.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30106.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30106 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30106.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Payment for Order Flow Fees https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30104.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30104.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30104 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30104.pdf Notice - T. Rowe Price Associates, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30054.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30054.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30054 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30054.pdf Notice - PNC Capital Advisors, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30053.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30053.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30053 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30053.pdf Notice - Lord, Abbett & Co. LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30052.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30052.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30052 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30052.pdf Notice - Hatteras Variable Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30051.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30051.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30051 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30051.pdf Notice - ING Investments, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30050.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30050.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30050 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30050.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30049.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30049.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30049 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30049.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 952NY With Respect to Opening Trading in an Options Series https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30048.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30048.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30048 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30048.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing And Immediate Effectiveness of Proposed Rule Change to Allow for the Split-Price Priority Provisions to Apply to Open Outcry Trading of Cabinet Trades https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30047.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30047.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30047 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30047.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing To Modify the NYSE Amex Options Fee Schedule Regarding the Manner in Which Funds From Marketing Charges Are Controlled https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30046.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30046.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30046 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30046.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 903 To Provide That the Exchange May Not List Short Term Option Series Expirations That Coincide With the Expiration of Quarterly Option Series on the Same Class https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30045.html https://regulations.justia.com/regulations/fedreg/2012/12/13/2012-30045.html Thu, 13 Dec 2012 00:00:00 -0800 2012-30045 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-13/pdf/2012-30045.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in Which New York Stock Exchange LLC Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by the Exchange on November 12, 2012 https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29966.html https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29966.html Wed, 12 Dec 2012 00:00:00 -0800 2012-29966 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-12/pdf/2012-29966.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Orders https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29965.html https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29965.html Wed, 12 Dec 2012 00:00:00 -0800 2012-29965 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-12/pdf/2012-29965.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Singly Listed Options https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29964.html https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29964.html Wed, 12 Dec 2012 00:00:00 -0800 2012-29964 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-12/pdf/2012-29964.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Establish the Market Quality Program https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29960.html https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29960.html Wed, 12 Dec 2012 00:00:00 -0800 2012-29960 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-12/pdf/2012-29960.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Adjustments for Cash Dividends and Distributions in Respect of Options Overlying Less than 100 Shares To Accommodate the Trading of Mini Options https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29930.html https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29930.html Wed, 12 Dec 2012 00:00:00 -0800 2012-29930 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-12/pdf/2012-29930.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/2012/12/12/2012-29929.html https://regulations.justia.com/regulations/fedreg/2012/12/12/2012-29929.html Wed, 12 Dec 2012 00:00:00 -0800 2012-29929 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-12/pdf/2012-29929.pdf Notice - Mutual of America Life Insurance Company, et al; https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29858.html https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29858.html Tue, 11 Dec 2012 00:00:00 -0800 2012-29858 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-11/pdf/2012-29858.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; Correction https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29857.html https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29857.html Tue, 11 Dec 2012 00:00:00 -0800 2012-29857 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-11/pdf/2012-29857.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Expand the Short Term Options Series Program https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29856.html https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29856.html Tue, 11 Dec 2012 00:00:00 -0800 2012-29856 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-11/pdf/2012-29856.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Exchange Rule 6.8 To Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29855.html https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29855.html Tue, 11 Dec 2012 00:00:00 -0800 2012-29855 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-11/pdf/2012-29855.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Exchange Rule 904 To Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29854.html https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29854.html Tue, 11 Dec 2012 00:00:00 -0800 2012-29854 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-11/pdf/2012-29854.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 472-Equities, Which Addresses Communications With the Public, Adopting New Rule Text To Conform to the Changes Adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart Our Business Startups Act https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29853.html https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29853.html Tue, 11 Dec 2012 00:00:00 -0800 2012-29853 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-11/pdf/2012-29853.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 472, Which Addresses Communications With the Public, Adopting New Rule Text To Conform to the Changes Adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart Our Business Startups Act https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29852.html https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29852.html Tue, 11 Dec 2012 00:00:00 -0800 2012-29852 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-11/pdf/2012-29852.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, LLC. Concerning Options-Related Sales Practice Matters https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29843.html https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29843.html Tue, 11 Dec 2012 00:00:00 -0800 2012-29843 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-11/pdf/2012-29843.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc. and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29842.html https://regulations.justia.com/regulations/fedreg/2012/12/11/2012-29842.html Tue, 11 Dec 2012 00:00:00 -0800 2012-29842 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-11/pdf/2012-29842.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29859.html https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29859.html Mon, 10 Dec 2012 00:00:00 -0800 2012-29859 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-10/pdf/2012-29859.pdf Notice - Emerging World Pharma, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29841.html https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29841.html Mon, 10 Dec 2012 00:00:00 -0800 2012-29841 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-10/pdf/2012-29841.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the CBOE Stock Exchange Fees Schedule https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29745.html https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29745.html Mon, 10 Dec 2012 00:00:00 -0800 2012-29745 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-10/pdf/2012-29745.pdf Rule - Extension of Dates for Certain Requirements and Amendment of Form 19b-4 https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29712.html https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29712.html Mon, 10 Dec 2012 00:00:00 -0800 2012-29712 Rule http://www.gpo.gov/fdsys/pkg/FR-2012-12-10/pdf/2012-29712.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Horizons S&P 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF Under NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29702.html https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29702.html Mon, 10 Dec 2012 00:00:00 -0800 2012-29702 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-10/pdf/2012-29702.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Related to Multi-Class Broad-Based Index Option Spread Orders https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29701.html https://regulations.justia.com/regulations/fedreg/2012/12/10/2012-29701.html Mon, 10 Dec 2012 00:00:00 -0800 2012-29701 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-10/pdf/2012-29701.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29624.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29624.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29624 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29624.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/2012/12/07/2012-29623.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29623.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29623 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29623.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Modify Certain Disclosure Requirements To Require Issuers To Publicly Describe the Specific Basis and Concern Identified by Nasdaq When a Listed Issuer Does Not Meet a Listing Standard and Give Nasdaq the Authority To Make a Public Announcement When a Listed Issuer Fails To Make a Public Announcement https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29605.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29605.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29605 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29605.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29571.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29571.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29571 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29571.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29570.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29570.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29570 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29570.pdf Notice - Cambria Investment Management, L.P. and Cambria ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29569.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29569.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29569 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29569.pdf Notice - In the Matter of the Application of Miami International Securities Exchange, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29568.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29568.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29568 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29568.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C(9)(a)(1)(ii)-Equities To Delete the Requirement That the Order Acceptance Cut-Off Time Cannot Be Past 4:30 p.m. https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29567.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29567.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29567 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29567.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 6.62(cc) Making Available the Post No Preference Light Only Quotation to Options Classes Not Participating in the Penny Pilot https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29566.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29566.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29566 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29566.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/2012/12/07/2012-29565.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29565.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29565 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29565.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change To Add Rules Related to the Clearing of iTraxx Europe Index CDS and European Corporate Single-Name CDS https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29564.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29564.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29564 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29564.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish the Retail Price Improvement Program on a Pilot Basis Until 12 Months From the Date of Implementation https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29563.html https://regulations.justia.com/regulations/fedreg/2012/12/07/2012-29563.html Fri, 07 Dec 2012 00:00:00 -0800 2012-29563 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-07/pdf/2012-29563.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29617.html https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29617.html Thu, 06 Dec 2012 00:00:00 -0800 2012-29617 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-06/pdf/2012-29617.pdf Notice - In the Matter of HealthSport, Inc., Home Director, Inc., Home Theater Products International, Inc., House of Taylor Jewelry, Inc. (n/k/a Global Jewelry Concepts, Inc.), and Huifeng Bio-Pharmaceutical Technology, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29596.html https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29596.html Thu, 06 Dec 2012 00:00:00 -0800 2012-29596 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-06/pdf/2012-29596.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29457.html https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29457.html Thu, 06 Dec 2012 00:00:00 -0800 2012-29457 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-06/pdf/2012-29457.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Availability of Risk Management Tools https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29456.html https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29456.html Thu, 06 Dec 2012 00:00:00 -0800 2012-29456 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-06/pdf/2012-29456.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Availability of Risk Management Tools https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29455.html https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29455.html Thu, 06 Dec 2012 00:00:00 -0800 2012-29455 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-06/pdf/2012-29455.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of the Requirement To Report the Contractual Dollar Prices at Which Transactions Were Executed for Inter-Dealer Transactions https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29454.html https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29454.html Thu, 06 Dec 2012 00:00:00 -0800 2012-29454 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-06/pdf/2012-29454.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29453.html https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29453.html Thu, 06 Dec 2012 00:00:00 -0800 2012-29453 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-06/pdf/2012-29453.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29452.html https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29452.html Thu, 06 Dec 2012 00:00:00 -0800 2012-29452 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-06/pdf/2012-29452.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Gateway Fees https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29451.html https://regulations.justia.com/regulations/fedreg/2012/12/06/2012-29451.html Thu, 06 Dec 2012 00:00:00 -0800 2012-29451 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-06/pdf/2012-29451.pdf Notice - William Blair & Company, L.L.C. and William Blair Funds.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29318.html https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29318.html Wed, 05 Dec 2012 00:00:00 -0800 2012-29318 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-05/pdf/2012-29318.pdf Notice - Foreside Advisor Services, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29317.html https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29317.html Wed, 05 Dec 2012 00:00:00 -0800 2012-29317 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-05/pdf/2012-29317.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit ETP Holders to Designate Orders as Retail Orders By Using a Tag in the Order Entry Message https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29316.html https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29316.html Wed, 05 Dec 2012 00:00:00 -0800 2012-29316 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-05/pdf/2012-29316.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund Under NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29315.html https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29315.html Wed, 05 Dec 2012 00:00:00 -0800 2012-29315 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-05/pdf/2012-29315.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of the U.S. Equity High Volatility Put Write Index Fund Under NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29314.html https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29314.html Wed, 05 Dec 2012 00:00:00 -0800 2012-29314 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-05/pdf/2012-29314.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29313.html https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29313.html Wed, 05 Dec 2012 00:00:00 -0800 2012-29313 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-05/pdf/2012-29313.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Order Type Called the Double Play Order https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29281.html https://regulations.justia.com/regulations/fedreg/2012/12/05/2012-29281.html Wed, 05 Dec 2012 00:00:00 -0800 2012-29281 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-05/pdf/2012-29281.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29392.html https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29392.html Tue, 04 Dec 2012 00:00:00 -0800 2012-29392 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-04/pdf/2012-29392.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29319.html https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29319.html Tue, 04 Dec 2012 00:00:00 -0800 2012-29319 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-04/pdf/2012-29319.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29241.html https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29241.html Tue, 04 Dec 2012 00:00:00 -0800 2012-29241 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-04/pdf/2012-29241.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1 https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29240.html https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29240.html Tue, 04 Dec 2012 00:00:00 -0800 2012-29240 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-04/pdf/2012-29240.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 15.1(a) and (c) https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29239.html https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29239.html Tue, 04 Dec 2012 00:00:00 -0800 2012-29239 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-04/pdf/2012-29239.pdf Notice - In the Matter of Encore Clean Energy, Inc., Energy & Engine Technology Corp., Equity Media Holdings Corporation, eTotalSource, Inc., Extensions, Inc., Firepond, Inc., and GNC Energy Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29219.html https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29219.html Tue, 04 Dec 2012 00:00:00 -0800 2012-29219 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-04/pdf/2012-29219.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Available a New Market Data Offering https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29218.html https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29218.html Tue, 04 Dec 2012 00:00:00 -0800 2012-29218 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-04/pdf/2012-29218.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Explicitly State That OCC May Reject a Request for Withdrawal of Margin or Make an Intra-Day Margin Call in Situations Where a Clearing Member's Projected Settlement Obligations Could Exceed OCC's Available Liquidity Resources https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29217.html https://regulations.justia.com/regulations/fedreg/2012/12/04/2012-29217.html Tue, 04 Dec 2012 00:00:00 -0800 2012-29217 Notice http://www.gpo.gov/fdsys/pkg/FR-2012-12-04/pdf/2012-29217.pdf