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

Results 601 - 650 of 2,063
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE Amex Options LLC Members Agreement To Empower the Volume Dispute Committee To Establish Principles for Determining Whether the Exchange Has Experienced a Bona Fide Systems Problem and To Adjust Certain Volume Measurements Accordingly
Document Number: 2012-23634
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23634.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the iShares Short Maturity Bond Fund
Document Number: 2012-23633
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23633.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2012-23632
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23632.html
Proposed Collection; Comment Request
Document Number: 2012-23601
Type: Notice
Date: 2012-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/26/2012-23601.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend BATS Rule 14.11, Entitled “Other Securities”
Document Number: 2012-23564
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23564.html
Submission for OMB Review; Comment Request
Document Number: 2012-23541
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23541.html
Submission for OMB Review; Comment Request
Document Number: 2012-23540
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23540.html
Proposed Collection; Comment Request
Document Number: 2012-23539
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23539.html
Submission for OMB Review; Comment Request
Document Number: 2012-23538
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23538.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Increase the Maximum Term for LEAPS to Fifteen Years
Document Number: 2012-23537
Type: Notice
Date: 2012-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/25/2012-23537.html
Sunshine Act Meeting
Document Number: 2012-23575
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23575.html
Neuberger Berman Alternative Funds, et al.; Notice of Application
Document Number: 2012-23483
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23483.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Twelve Funds of the Direxion Shares ETF Trust II Under NYSE Arca Equities Rule 8.200
Document Number: 2012-23461
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23461.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the PowerShares S&P 500 Downside Hedged Portfolio Under NYSE Arca Equities Rule 8.600
Document Number: 2012-23459
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23459.html
Financial Investors Trust, et al.; Notice of Application
Document Number: 2012-23450
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23450.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete FINRA Rule 7064A (Late Fees)
Document Number: 2012-23449
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23449.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Regarding Acceptance of Additional Interest Rate Swaps for Clearing
Document Number: 2012-23440
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23440.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Rules Regarding Requests for Data Related to Exchange Reviews
Document Number: 2012-23439
Type: Notice
Date: 2012-09-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/24/2012-23439.html
Factor Advisors, LLC, et al.; Notice of Application
Document Number: 2012-23317
Type: Notice
Date: 2012-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/21/2012-23317.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the Price Improvement Period
Document Number: 2012-23289
Type: Notice
Date: 2012-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/21/2012-23289.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Strike Price Intervals in the Short Term Options Program
Document Number: 2012-23288
Type: Notice
Date: 2012-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/21/2012-23288.html
Enwin Resources, Inc., Order of Suspension of Trading
Document Number: 2012-23316
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23316.html
Drucker, Inc., DynaMotive Energy Systems Corp., and Gate to Wire Solutions, Inc., Order of Suspension of Trading
Document Number: 2012-23315
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23315.html
China Mobile Media Technology, Inc., Order of Suspension of Trading
Document Number: 2012-23314
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23314.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposes [sic] 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.
Document Number: 2012-23237
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23237.html
Proposed Collection; Comment Request
Document Number: 2012-23233
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23233.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending 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
Document Number: 2012-23204
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23204.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Change and Amendments Nos. 1, 2, 3 and 4 Thereto, To Require Members To Provide Customers in TRACE-Eligible Debt Securities With Additional, Transaction-Specific Disclosures and To Notify Customers of the Availability of a Disclosure Document
Document Number: 2012-23182
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23182.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Electronic Firm Fee Discount
Document Number: 2012-23181
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23181.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To Add an Index Option Product for Trading on the Exchange
Document Number: 2012-23180
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23180.html
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
Document Number: 2012-23179
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23179.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees Regarding Complex Order Rebates
Document Number: 2012-23178
Type: Notice
Date: 2012-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/20/2012-23178.html
Freedom Environmental Services, Inc.; Order of Suspension of Trading
Document Number: 2012-23196
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23196.html
AER Energy Resources, Inc.; Alto Group Holdings, Inc.; Bizrocket.Com Inc.; Fox Petroleum, Inc.; Geopulse Explorations Inc.; Global Technologies Group Inc.; KMA Global Solutions International, Inc.; Mike The Pike Productions Inc.; Mobile Star Corp.; SavWatt USA Inc.; Scorpex Inc.; Silver Dragon Resources Inc.; Strategic Mining Corp.; Surgline International Inc.; Thrive World Wide Inc.; Zamage Digital Art Imaging Inc.; Order of Suspension of Trading
Document Number: 2012-23195
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23195.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Document Number: 2012-23103
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23103.html
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.
Document Number: 2012-23102
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23102.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Applicable to the Exchange's Competitive Liquidity Provider Program.
Document Number: 2012-23101
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23101.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete NASDAQ Rule 7032
Document Number: 2012-23040
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23040.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members
Document Number: 2012-23039
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23039.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Which: (i) Eliminates the Practice of Netting of Creations and Redemptions of Index Receipts Prior to Their Entering NSCC's Accounting Operation, and (ii) Effects Certain Other Technical Changes
Document Number: 2012-23038
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23038.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Investor Support Program Under Rule 7014 and To Amend NASDAQ's Schedule of Execution Fees and Rebates Under Rule 7018
Document Number: 2012-23037
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23037.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Regarding Mandatory Trading Permit Holder Education and Corresponding Set of Fines
Document Number: 2012-23036
Type: Notice
Date: 2012-09-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/19/2012-23036.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.03 of the Listed Company Manual of the New York Stock Exchange LLC
Document Number: 2012-22964
Type: Notice
Date: 2012-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/18/2012-22964.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual, Which Describes Certain Complimentary Products and Services that are Offered to Certain Issuers
Document Number: 2012-22963
Type: Notice
Date: 2012-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/18/2012-22963.html
Wells Fargo Funds Trust, et al.; Notice of Application
Document Number: 2012-22917
Type: Notice
Date: 2012-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/18/2012-22917.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Amending NYSE Arca Equities Rule 7.37(c) to Provide That the Tracking Order Process Is Available Only for Orders That Are Eligible To Route To an Away Market
Document Number: 2012-22916
Type: Notice
Date: 2012-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/18/2012-22916.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate To Add Liquidity and Non-Customer Fees for Removing Liquidity in Penny Pilot Options
Document Number: 2012-22915
Type: Notice
Date: 2012-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/18/2012-22915.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(d) To Provide That an Inside Limit Order Designated as a Primary Until 9:45 Order or a Primary After 3:55 Order Will Follow the Order Processing of an Inside Limit Order Only When the Order Is On the NYSE Arca Book
Document Number: 2012-22914
Type: Notice
Date: 2012-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/18/2012-22914.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Document Number: 2012-22913
Type: Notice
Date: 2012-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/18/2012-22913.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Document Number: 2012-22912
Type: Notice
Date: 2012-09-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2012/09/18/2012-22912.html
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