Securities and Exchange Commission January 25, 2012 – Federal Register Recent Federal Regulation Documents

Order Making Fiscal Year 2012 Annual Adjustments to Transaction Fee Rates
Document Number: 2012-1522
Type: Notice
Date: 2012-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Covered Securities of Bats Exchange, Inc.
Document Number: 2012-1521
Type: Rule
Date: 2012-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as amended, (``Securities Act'') to designate certain securities listed, or authorized for listing, on BATS Exchange, Inc. (``BATS'' or ``Exchange'') as covered securities for purposes of Section 18 of the Securities Act. Covered securities under Section 18 of the Securities Act are exempt from state law registration requirements. The Commission also is making corrections to the rule text to reflect name changes.
New York Life Insurance and Annuity Corporation, et al., Notice of Application
Document Number: 2012-1482
Type: Notice
Date: 2012-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
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